Compliance Associate (Junior)

Which location are you applying for?, Resume/CV, Full name, Email, Phone, Current location, Current company, LinkedIn URL, Other website

• If you have a cover letter you would like to share with the hiring team, please do so here. upload · optional
• First name
• Last name
• Street
• City
• State
• Zip Code
• Country
• Email Address
• Phone Number
• Have you ever been employed by D.A. Davidson Companies? choose one
• If yes, what was your last year of employment with the company? Type N/A if not applicable
• Have you previously applied for employment with D.A. Davidson Companies? choose one
• Are you legally authorized to work in the United States without sponsorship? choose one
• Will you now or in the future require D.A. Davidson Companies to commence ("sponsor") an immigration case to lawfully employ you in the United States (for example, H-1B or other employment-based immigration case)? This is sometimes called "sponsorship" for an employment-based visa status. choose one
• Are you able to perform the essential functions of the position(s) for which you are applying with or without reasonable accommodations? choose one
• Have you been convicted of, or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony in the past 10 years? choose one
• Have you been convicted of, pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to a misdemeanor involving investments or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or conspiracy to commit any of these offenses in the past 10 years? choose one
• IMPORTANT – PLEASE READ: If you are employed by D.A. Davidson Companies, securities industry regulations require that your fingerprints be submitted to the FBI. All criminal history, including arrests and charges that did not result in a conviction, and including arrests, charges or convictions that have been expunged, will be disclosed to D.A. Davidson Companies and reviewed by a limited number of people. In addition, FINRA may require you to submit documentation regarding the incident. Conviction of or “no contest” pleas to certain crimes in the last 10 years may disqualify you from working for D.A. Davidson Companies, even if you were a minor or if the record was sealed or expunged. If you have concerns or questions, please contact D.A. Davidson Companies’ Director of Human Capital at 1-800-332-5915 yes / no · optional
• Are you presently licensed in the insurance or securities industry? If so, are the disclosures on your Form U-4 up to date? choose one
• Have you ever been licensed in the insurance or securities industry? choose one
• If you answered “Yes” to either licensing question above, have you ever been disciplined by a regulatory authority, or had a license suspended or revoked? choose one
• If you are hired by D.A. Davidson Companies, do you acknowledge that you will be required, in accordance with firm policy and as a condition of employment, to move your securities accounts (limited exceptions for certain account types) to D.A. Davidson Companies within 60 days of your hire? choose one
• Has a bonding company ever denied, paid out on, or revoked a bond for you? choose one
• Do you have an unsatisfied judgements or liens against you? choose one
• What is the highest level of education you have completed? choose one
• Institution Name
• Location of Institution (City, State, Country)
• Degree or Certification Earned
• Attendance Start Date (MM/YYYY)
• Attendence End Date (MM/YYYY or "Present" if still enrolled)
• Additional Training or Certifications written answer · optional
• Please provide your employment history below. If you have not had 5 employers, please fill what you can and write "N/A" for the remainder of your answers. If you have had more than 5 employers, please enter the 5 that are most recent. choose one
• 1. Employer Name
• Employer Phone Number
• Is this your current employer? choose one
• Employer Location (City, State, Zip)
• Employment Start Date (MM/YYYY)
• Employment End Date (MM/YYYY)
• Job Title
• Summarize the nature of the work performed & job responsibilities written answer
• Reason for Leaving written answer
• 2. Employer Name
• Employer Phone Number
• Is this your current employer? choose one
• Employer Location (City, State, Zip)
• Employment Start Date (MM/YYYY)
• Employment End Date (MM/YYYY)
• Job Title
• Summarize the nature of the work performed & job responsibilities written answer
• Reason for Leaving written answer
• 3. Employer Name
• Employer Phone Number
• Is this your current employer? choose one
• Employer Location (City, State, Zip)
• Employment Start Date (MM/YYYY)
• Employment End Date (MM/YYYY)
• Job Title
• Summarize the nature of the work performed & job responsibilities written answer
• Reason for Leaving written answer
• 4. Employer Name
• Employer Phone Number
• Is this your current employer? choose one
• Employer Location (City, State, Zip)
• Employment Start Date (MM/YYYY)
• Employment End Date (MM/YYYY)
• Job Title
• Summarize the nature of the work performed & job responsibilities written answer
• Reason for Leaving written answer
• 5. Employer Name
• Employer Phone Number
• Is this your current employer? choose one
• Employer Location (City, State, Zip)
• Employment Start Date (MM/YYYY)
• Employment End Date (MM/YYYY)
• Job Title
• Summarize the nature of the work performed & job responsibilities written answer
• Reason for Leaving
• Please provide professional references below choose one
• 1. Name
• Relationship choose one
• Email Address
• Phone Number
• How long have you know this reference? choose one
• 2. Name written answer
• Relationship choose one
• Email Address
• Phone Number
• How long have you know this reference? choose one
• Please list all employees of D.A. Davidson Companies with whom you are acquainted, and indicate whether you are related written answer
• Under Maryland law, an employer may not require or demand, as a condition of employment, prospective employment, or continued employment, that an individual submit to or take a polygraph examination or similar test. An employer who violates this law is guilty of a misdemeanor and subject to a fine not exceeding $100. yes / no · optional
• It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. yes / no · optional