Compliance Analyst

Davenport & Co.•Richmond, VA

22h•Onsite

About The Position

The Compliance department provides regulatory guidance, advice, and support to Davenport, a dually registered broker-dealer and investment advisor. The Firm provides a range of wealth management and financial advisory services, including traditional stock and bond brokerage, professional money management, financial and retirement planning, market research, insurance, and public finance. The Compliance Analyst will primarily work with the Firm’s AML Officer and Compliance Manager of Risk and Control. The position requires excellent analytical and communication skills, and the ability to work on confidential matters. This is a full-time, non-exempt position.

Requirements

SIE, Series 7, and Series 66 Licensed or must obtain within 1 year from date of hire
Series 24 Licensed or must obtain within 2 years from date of hire
Proficiency in Microsoft Outlook, Word, and Excel
Excellent written and communication skills
A positive and professional demeanor
A proactive and diligent manner governed by high ethical standards
Strong organizational skills and the ability to understand complex rules and policies
Ability to manage multiple tasks and meet required deadlines
Flexibility to perform additional tasks as business needs change within the department

Nice To Haves

Experience in securities, finance, regulatory, or auditing role is preferred.
Knowledge of FINRA and SEC rules and regulations is a plus.

Responsibilities

Assist the AML Officer with account reviews, investigations, and reporting
Assist the Compliance Manager of Risk and Control with vendor management and internal control reviews
Acquire, maintain, and continue to develop core skills and knowledge of relevant rules, regulations, and guidelines as issued by the SEC, FINRA, MSRB, and other regulatory bodies
Answer questions from the field, including the Compliance Hotline and escalate situations as needed
Other duties as assigned