[Hiring] Compliance Associate @D.A. Davidson

Role Description

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.

• Support the Department by assisting in the day-to-day compliance program duties.
• Assist in the branch examination program, the Anti-Money Laundering (“AML”) program.
• Provide general support to branch associates and internal business and supervision partners, including wealth management and capital markets.
• Help support associate disclosure processes, customer complaints, and/or other projects as assigned.

Qualifications

• 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.

Requirements

• Perform data collection in accordance with branch examination program requirements.
• Help analyze collected data to identify irregularities, trends, and patterns.
• May accompany Compliance Examiners during onsite/virtual examinations.
• Assist with the administration of associate disclosures including OBAs, PSTs, OIAs, and political contributions.
• Assist the AML Compliance Officer with transaction monitoring.
• Assist with the administration of customer complaints.
• Assist with monitoring, responding to, and/or redirecting inquiries sent to the Compliance Department inbox.
• Additional duties and responsibilities as identified, needed, and assigned.

Benefits

• Competitive salary plus excellent benefits and perks.
• 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.