Compliance Examiner

D.A. Davidson • Denver, MT

10d • Hybrid

About The Position

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 Wealth Management (WM) Compliance Examiner conducts onsite and virtual examinations of D.A. Davidson WM branch offices, acts as an ongoing compliance contact for branch offices, and supports adherence with industry rules and regulations.

Requirements

• FINRA SIE, Series 7, Series 65 or 66, and Series 9 and 10 or Series 24 licensing required. May consider candidates without required principal licensure (i.e., 9/10 or 24) provided they are able and willing to obtain within 6 months of starting the position.
• Bachelor’s degree in business, finance or complimentary field, or relevant securities industry experience.
• Basic knowledge of investment concepts, practices, laws, and regulations; includes FINRA, SEC, MSRB and state/jurisdiction rules and regulations related to securities and investment advisory compliance.
• 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 to provide interpretive compliance guidance and advice, utilizing critical thinking independent judgement in moderate to complex situations.
• Ability to prioritize, plan, and meet Firm and regulatory deadlines.
• Ability to work in a digital environment; proficient with Microsoft Outlook, Word, and Excel.

Nice To Haves

• Two or more years of compliance experience and five years of industry experience preferred.
• Experience conducting surveillance oversight of Firm supervisory processes desired.
• Advanced technology skills desired and welcomed.

Responsibilities

• Schedules branch examinations and manage related travel expenses.
• Performs data collection in accordance with examination program requirements and analyzes collected data to identify irregularities, trends, and patterns.
• Conducts onsite/virtual examinations to evaluate compliance with Firm policies, WSPs, and industry regulations.
• Drafts and distributes inspection related communications to branch principals and internal business and supervision partners.
• As needed, assists with review of potential restricted trade violations; disclosure of OBAs, PSTs, and political contributions; and semiannual and annual certifications in Comply.
• Alerts internal stakeholders of identified issues and escalates items, as appropriate.
• Assists in the investigation, review and follow-up for customer complaints, arbitrations, regulatory investigations, and inquiries as applicable for branch offices.
• Participates in addressing sensitive compliance or supervision issues with internal leaders in assigned functional areas.
• Recommends process improvements to enhance the effectiveness and efficiency of branch-related and Firm-level processes.
• Maintains required Firm books and records relating to areas of assigned responsibilities.
• 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: Mid Level