Compliance Analyst

Davenport & Company LLC•Richmond, VA

1d•$55,000 - $65,000•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 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 18 months 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

Support the Firm’s internal control review program by assisting with the planning and execution of reviews under the direction of the Compliance Manager of Risk and Control, helping to evaluate the design and operating effectiveness of controls, and tracking findings through remediation.
Support the Firm’s vendor management program by assisting with due diligence and ongoing monitoring of vendors, coordinating with vendor relationship owners and internal stakeholders to gather information, track findings, and follow up on remediation items.
Support the Firm’s review of advertising and sales literature to help ensure compliance with regulatory standards and firm policies.
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.