Compliance Examiner

D.A. Davidson Companies; Minneapolis (MN); On-site; USD 54,486 - 80,000; Full time

Benefits offered by this job

Medical, Dental and Vision

Company 401(k) and ESOP contribution

Generous sick, vacation, and maternity

Paid holidays

Professional Development Opportunities

Tuition Reimbursement ($15,000 lifeime

Discounted personal insurance

Charitable gift-matching program

Davidson Day of Giving

Job summary

D.A. Davidson Companies is a leading independent financial services firm with a long history of integrity and client focus.

The Wealth Management Compliance Examiner conducts onsite and virtual examinations of WM branch offices, serves as a compliance contact, and supports adherence to industry rules. The role requires licensing, finance knowledge, and strong communication skills, with travel expected to exceed 35% of the time and a focus on risk controls and regulatory alignment across the

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

Responsibilities

• 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

Skills

Compliance knowledge

Interpersonal communication

Analytical thinking

Prioritization & planning

Travel readiness

Education

Bachelor’s degree in business or finance

Relevant securities industry experience

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

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.

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.