Compliance Examiner

D.A. Davidson; Great Falls (MT); On-site; USD 54,486 - 80,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401(k) and ESOP

Paid leave

Holidays

Professional development

Tuition reimbursement

Insurance discounts

Charitable gift matching

Giving day

Job summary

D.A. Davidson is seeking a Wealth Management Compliance Examiner to conduct onsite and virtual examinations of WM branches, provide guidance, and support adherence to industry rules.

The role requires licenses or the ability to obtain them within six months, a strong compliance background, and excellent communication with senior leaders and external auditors. The position supports the firm’s commitment to integrity and community impact, with travel anticipated for field work across the United

Qualifications

• Bachelor’s degree in business, finance or related field; two+ years in compliance preferred.
• FINRA licensing knowledge is required or obtainable within 6 months.
• Solid knowledge of investment concepts and regulatory rules (FINRA/SEC/MSRB).

Responsibilities

• Schedule and manage branch examinations and related travel expenses.
• Perform data collection and analyze data for irregularities and trends.
• Conduct onsite/virtual examinations to ensure compliance with policies and regulations.
• Draft and distribute inspection communications to branches and partners.
• Assist with investigations and reviews of customer matters and regulatory inquiries.
• Identify issues and escalate as appropriate; support process improvements.

Skills

Compliance experience

Strong communication

Analytical thinking

Travel willingness

Education

Bachelor's degree in business/finance

Tools

Excel

Outlook

Word

Job description

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.

$54,486 - $80,000 a year

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.