Compliance Associate (Junior)

D.A. Davidson • Minneapolis, MN

7d • $21 - $31 • Onsite

About The Position

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments. The Firm has operations across the United States. The Compliance Associate role is ideal for candidates who are new to the financial services industry, or those with limited industry experience and/or minimal licensure.

Requirements

• Bachelor’s degree in business, finance, or a related field, or relevant professional experience in the financial services industry.
• Basic knowledge of financial markets and investment products, and ability and willingness to expand knowledge.
• Willingness and ability to obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months of hire date.
• Exhibits a professional and personable demeanor always.
• Ability to work in a digitized environment with advanced knowledge of Microsoft Office products.
• Strong written, oral, and interpersonal skills necessary to engage with senior leaders, industry examiners, outside auditors, clients, law firms, other financial institutions, and branch associates.
• Ability and willingness to travel up to 10% of the time.
• Ability to effectively communicate Firm policies and industry regulations to others.
• Strong attention to detail and organizational skills.
• Ability and desire to learn about the financial services industry and to support their career path within the Compliance Department or the broader Firm.
• Ability to prioritize, plan, and meet deadlines as well as work independently.

Nice To Haves

• Additional licensure opportunities available, subject to supervisory review and approval.
• Additional technology skills are preferred.

Responsibilities

• Support the Department by assisting in the day-to-day compliance program duties, including the branch examination program, the Anti-Money Laundering (“AML†) program, and providing general support to branch associates and internal business and supervision partners, including wealth management and capital markets.
• On an as needed basis, may help support associate disclosure processes, customer complaints, and/or other projects as assigned.
• Performs data collection in accordance with branch examination program requirements and helps analyze collected data to identify irregularities, trends, and patterns.
• May accompany Compliance Examiners, both wealth management and capital markets, during onsite/virtual examinations to help evaluate compliance with Firm policies, WSPs, and industry regulations, as needed.
• Assists with the administration of associate disclosures including OBAs, PSTs, OIAs and political contributions, and semiannual and annual certifications in Comply.
• Assists the AML Compliance Officer with transaction monitoring, as needed.
• Assists with the administration of customer complaints, as needed.
• Assists with monitoring, responding to, and/or redirecting inquiries and questions sent to the Compliance Department inbox.
• Additional duties and responsibilities as identified, needed, and assigned.

Benefits

• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level