Compliance Analyst

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

Benefits offered by this job

401(k) contribution

Profit sharing plan

Paid time off

Wellness programs

Job summary

Davenport & Co. in Richmond, VA, is seeking a Compliance Analyst to provide regulatory guidance and support. The ideal candidate will work closely with the Firm's AML Officer and Compliance Manager, requiring excellent analytical and communication skills.

This full-time position includes responsibilities such as assisting with investigations and maintaining knowledge of SEC and FINRA regulations. The hiring range for this role is between $55,000 and $65,000, with additional benefits.

Qualifications

• Experience in securities, finance, regulatory, or auditing role preferred.
• Knowledge of FINRA and SEC rules and regulations is a plus.
• Ability to manage multiple tasks and meet deadlines.

Responsibilities

• Assist the AML Officer with account reviews and investigations.
• Assist with vendor management and internal control reviews.
• Maintain knowledge of relevant rules and regulations.

Skills

Excellent written and communication skills

Strong organizational skills

Proficiency in Microsoft Outlook

Proficiency in Microsoft Word

Proficiency in Microsoft Excel

Proactive, diligent manner

Education

SIE, Series 7, and Series 66 licenses

Series 24 license

Job description

POSITION: Compliance Analyst

Location: Richmond, VA

Job ID: 395

# of Openings: 1

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 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 continuously develop core skills and knowledge of relevant rules, regulations, and guidelines issued by the SEC, FINRA, MSRB, and other regulatory bodies


• Answer questions from the field, including the Compliance Hotline, and elevate situations as needed


• Perform other duties as assigned

QUALIFICATIONS

• Experience in securities, finance, regulatory, or auditing role preferred; knowledge of FINRA and SEC rules and regulations is a plus


• SIE, Series 7, and Series 66 licensed or must obtain within 1 year from date of hire


• Series 24 licensed or must obtain within 2 years from date of hire


• Proficiency in Microsoft Outlook, Word, and Excel


• Excellent written and communication skills


• Positive and professional demeanor


• Proactive, diligent manner governed by high ethical standards


• Strong organizational skills and 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

Competitive salary with a base pay range of $55,000 – $65,000, subject to factors such as prior performance, skills, experience, or work location. Eligible for incentive opportunities. Benefits include safe harbor 401(k) contribution, profit sharing plan, disability and life insurance, high‑deductible health plan with HSA, on‑site Health Center, paid time off, elective dental benefits, wellness programs, and company‑sponsored volunteer opportunities during business hours.

We are 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, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.