Compliance Examiner

Open 20d

Summary

Conducts onsite and virtual compliance examinations of financial branch offices, ensures adherence to securities regulations, and provides guidance to branch associates and leadership.

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. You can learn more about our company culture and impact in our latest annual report.

Summary/Function:
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.

Qualifications:
• 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. Two or more years of compliance experience and five years of industry experience preferred.
• 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.
• Experience conducting surveillance oversight of Firm supervisory processes desired.
• 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. Advanced technology skills desired and welcomed.
• Exhibits a professional and personable demeanor always.
• Ability and willingness to commit over 35% of time to travel.

KEY RESPONSIBILITIES:
The WM Compliance Examiner is responsible for performing specific duties in support of the compliance program functions and initiatives which include responsibilities related to the day-to-day compliance program duties, annual compliance reviews, assigned projects, and providing compliance guidance and support to branches and internal business and supervision partners as needed.

Duties:
• 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.

What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:
• 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.

The potential base pay hiring range for this role is $54,486 to $80,000 annually. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.

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What this application asks

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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
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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
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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
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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

Compliance Examiner

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