Compliance & Operations Coordinator

D.A. Davidson; Great Falls (MT); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

401(k) and ESOP

Paid holidays

Professional Development

Tuition Reimbursement

D&A Davidson charity/volunteering

Job summary

D.A. Davidson Companies is seeking a senior level associate on the D.A. Davidson Trust Company (DTC) team.

You will contribute to effective business operations by supporting the DTC’s compliance and risk management functions, and perform regular testing to ensure alignment with the risk framework. The role requires strong communication, analytical capabilities, and the ability to handle confidential information while working collaboratively with the Operations and Compliance teams.

Qualifications

• High school diploma or equivalent; further education a plus.
• Effective communication skills both verbal and written.
• Strong analytical ability and detail orientation to manage client and firm priorities.
• Proficient with Microsoft Office and able to learn bank platforms.
• Ability to maintain client confidentiality.
• Team player with dependable attendance; overtime as needed.

Responsibilities

• Provide support to DTC’s Compliance Officer and Operations team.
• Perform routine risk testing (daily, monthly, quarterly, annually) per risk matrix.
• Support the DTC Compliance Officer on audits and coordination.
• Attend weekly Risk Committee meetings and maintain logs of compliance projects.
• Conduct routine operations reporting (daily, monthly, quarterly, annually).
• Coordinate online client access and internal communications with Operations.
• Coordinate corporate actions received.
• Perform other duties and special projects as assigned.

Skills

Communication

Analytical ability

Detail orientation

Microsoft Office

Proprietary bank platforms

Confidentiality

Teamwork

Attendance/OT

Education

High School diploma or equivalent

Associate or Bachelor's degree a plus

Tools

Microsoft Office

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:

This is a senior level associate position on the D.A. Davidson Trust Company (DTC) team. Contribute to effective business operations through the support of operational functions for DTC. In addition, perform regular compliance testing to ensure the DTC is in alignment with its risk management program.

Qualifications:

• High School diploma and/or equivalent work experience; Associate or Bachelor’s Degree a plus
• Effective communication skills both verbal and written
• Proven analytical ability and detail orientation with ability to manage client and firm priorities
• Strong computer skills, currently Microsoft Suite of products and ability to learn proprietary bank platforms and software
• Ability to maintain client confidentiality
• Ability to work effectively as part of a team
• Ability to maintain regular, predictable attendance; ability to work overtime if needed

Duties:

• Provide support to DTC’s Compliance Officer and Operations team
• Perform routine risk testing (daily, monthly, quarterly, annually) as outlined by DTC’s risk matrix; surface any findings through the appropriate channel
• Support the DTC Compliance Officer on external/internal audit coordination
• Attend DTC’s weekly Risk Committee meeting and keep ongoing log of compliance related projects/policy updates
• Perform routine operations reporting (daily, monthly, quarterly, annually)
• Online access support for clients and internal communication with Operations team
• Coordination of corporate actions received
• Perform any other duties and special projects 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
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

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.

We hope you will consider joining us!

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 employmentor, 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.