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Investment Advisory Compliance Analyst @Dadavidson

[Hiring] Investment Advisory Compliance Analyst @Dadavidson

Mar 26, 2025 - Dadavidson is hiring a remote Investment Advisory Compliance Analyst. 💸 Salary: $60,000 - $80,000. 📍Location: USA.

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more.

Role Description

We are seeking an Investment Advisor (“IA”) Compliance Analyst to assist with all aspects related to the administration of D.A. Davidson’s Investment Adviser Compliance Program. A successful candidate will execute on Compliance Department and Firm initiatives and ensure adherence with investment advisory rules and regulations.

  • Perform specific duties in support of the compliance program functions and initiatives.
  • Responsibilities include day-to-day compliance program duties, annual compliance reviews, assigned projects, and providing compliance guidance and support to business lines, Supervision, Operations, and other departments.
  • Play a key role in the ongoing development and execution of annual compliance program reviews.
  • Conduct research and data analysis for internal testing to ensure D.A. Davidson policies, procedures, and controls are designed to prevent or mitigate specific risks and achieve compliance with securities laws, rules, and regulations.

Qualifications

  • Bachelor’s degree in business management, Finance, Economics, or similar endeavor.
  • 1-4 years of progressively responsible, investment advisory compliance related work experience preferred.
  • Series 7, 63 and 65, or 66, or the ability to obtain within six (6) months of employment. Series 24 or 9/10 preferred but not required.
  • Excellent presentation, training, and education skills with strong interpersonal skills.
  • Experience and aptitude for understanding business ethics and complex securities laws, rules and regulations.
  • Strong experience in various software and applications including MS Office applications and financial industry applications and platforms.
  • Project management experience and a proven ability to track, prioritize, and execute project tasks.
  • Detail-oriented and capable of working with a high level of accuracy.
  • Ability to articulate company and regulatory standards to all levels of the organization.
  • Ability to work cohesively with others in organizing projects and developing processes.
  • Ability to handle confidential information and matters with discretion.
  • Ability to work independently and in pressure situations with limited direction.
  • Sound judgment, initiative, and good decision-making and organizational skills.
  • Ability to independently handle multiple tasks and complete them in a timely manner.

Requirements

  • Perform risk assessments and control testing for critical areas and processes as part of the annual compliance review.
  • Assist with preparation and issuance of reports to senior management.
  • Provide support with respect to regulatory filings and requests.
  • Assist in identifying and researching new rules, regulations, and laws that impact the advisory businesses.
  • Support the development and administration of the investment adviser written policies and procedures manuals.
  • Project management and project team support for departmental projects.
  • Provide back-up in conducting annual branch exams and compliance meetings.
  • Perform other duties and special projects as 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.

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📍 Be aware of the location restriction for this remote position: USA
‼ Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more.
Back to Remote jobs  >   Finance / Legal
Investment Advisory Compliance Analyst @Dadavidson
Finance / Legal
Salary 💸 $60,000 - $80,000
Remote Location
USA
Job Type full-time
Posted Mar 26, 2025
Apply for this position Unlock 53,877 Remote Jobs
️
📍 Be aware of the location restriction for this remote position: USA
‼ Beware of scams! When applying for jobs, you should NEVER have to pay anything. Learn more.
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