Compliance Analyst

Davenport & Company LLC; Richmond (VA); On-site; USD 55,000 - 65,000; Full time

Benefits offered by this job

401(k) plan

Profit sharing

Disability & life insurance

HDHP with HSA

On-site Health Center

Paid time off

Dental benefits

Volunteer opportunities

Job summary

Davenport & Company LLC is seeking a Compliance Analyst to support the AML program and risk controls in our Richmond, VA office. This full-time, non-exempt role collaborates with the AML Officer and Compliance Manager of Risk and Control.

The position requires strong analytical skills, impeccable ethics, and the ability to handle confidential matters while ensuring regulatory compliance with SEC, FINRA, and MSRB rules.

Qualifications

• Experience in securities, finance, regulatory or auditing role preferred; knowledge of FINRA and SEC rules a plus.
• SIE, Series 7 and Series 66 licensed or must obtain within one year from date of hire.
• Series 24 licensed or must obtain within two years from date of hire.
• Proficiency in Microsoft Outlook, Word and Excel.
• Excellent written and communication skills.
• Positive and professional demeanor.
• Proactive and diligent with high ethical standards.
• Strong organizational skills and ability to manage multiple tasks.

Responsibilities

• Assist the AML Officer with account reviews, investigations, and reporting.
• Assist the Compliance Manager of Risk and Control with vendor management and internal control reviews.
• Acquire and maintain knowledge of SEC, FINRA, MSRB rules and guidelines.
• Answer questions from the field, including the Compliance Hotline, and escalate as needed.
• Other duties as assigned.

Skills

Analytical skills

Communication skills

Ethical standards

Organizational skills

Multi-tasking

Education

SIE/Series 7/Series 66 licenses (within 1 year)

Series 24 license (within 2 years)

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Job description

Compliance Analyst

Location, Department & Hiring Range

• Location: On-site in Richmond, VA
• Department: Compliance
• Hiring Range: $55,000 – $65,000

Overview

The Compliance department provides regulatory guidance, advice, and support to Davenport, a dually registered broker-dealer and investment advisor. The Firm provides a range of wealth management and financial advisory services, including traditional stock and bond brokerage, professional money management, financial and retirement planning, market research, insurance, and public finance. The Compliance Analyst will primarily work with the Firm’s AML Officer and Compliance Manager of Risk and Control. The position requires excellent analytical and communication skills, and the ability to work on confidential matters. This is a full-time, non-exempt position.

Responsibilities

• Assist the AML Officer with account reviews, investigations, and reporting.
• Assist the Compliance Manager of Risk and Control with vendor management and internal control reviews.
• Acquire, maintain, and continue to develop core skills and knowledge of relevant rules, regulations, and guidelines as issued by the SEC, FINRA, MSRB, and other regulatory bodies.
• Answer questions from the field, including the Compliance Hotline, and expedite situations as needed.
• Other duties as assigned.

Qualifications

• Experience in securities, finance, regulatory or auditing role is preferred; knowledge of FINRA and SEC rules and regulations is a plus.
• SIE, Series 7 and Series 66 licensed or must obtain within one year from date of hire.
• Series 24 licensed or must obtain within two years from date of hire.
• Proficiency in Microsoft Outlook, Word and Excel.
• Excellent written and communication skills.
• A positive and professional demeanor.
• A proactive and diligent manner governed by high ethical standards.
• Strong organizational skills and the ability to understand complex rules and policies.
• Ability to manage multiple tasks and meet required deadlines.
• Flexibility to perform additional tasks as business needs change within the department.

Salary & Benefits

We offer a competitive salary and excellent benefit program, including safe harbor 401(k) contribution, profit-sharing plan, disability and life insurance, high-deductible health plan with an HSA, on-site Health Center, paid time off and elective dental benefits. We offer wellness programs and support a friendly and collegial culture, with company-sponsored volunteer opportunities during business hours. Pay may vary depending on factors including, but not limited to, demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

DAVENPORT IS AN EQUAL OPPORTUNITY EMPLOYER

Davenport & Company LLC provides equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.