Junior Compliance Analyst: AML & Examinations

D.A. Davidson Companies; Minneapolis (MN); On-site; USD 29,000 - 43,000; Full time

Benefits offered by this job

Medical, Dental and Vision

Company 401(k) and ESOP

Paid holidays

Job summary

D.A. Davidson Companies is seeking a Compliance Associate to support the Compliance Department in day-to-day duties including AML, disclosures, and branch examinations.

Ideal for candidates new to financial services with a willingness to obtain the SIE within six months. The role offers a pathway to licensure and advancement within the Firm, with a strong emphasis on accuracy, professional demeanor, and collaboration with wealth management and capital markets teams.

Qualifications

• Bachelor’s degree in business, finance, or related field or equivalent experience
• Basic knowledge of financial markets and investment products; willingness to expand
• Willingness to obtain FINRA SIE within 6 months; additional licensure possible

Responsibilities

• Assist in day-to-day compliance program duties, including AML and branch examination support
• Help with associate disclosures and customer complaints, as needed
• Support data collection and analysis for compliance investigations
• Assist with communication of Firm policies and industry regulations to staff

Skills

Basic knowledge of financial markets

Excellent communication

Detail-oriented

MS Office proficiency

Ability to travel up to 10%

Education

Bachelor’s degree in business or finance

Tools

MS Office

Job description

D.A. Davidson Companies is seeking a Compliance Associate to support the Compliance Department in day-to-day duties including AML, disclosures, and branch examinations.

Ideal for candidates new to financial services with a willingness to obtain the SIE within six months. The role offers a pathway to licensure and advancement within the Firm, with a strong emphasis on accuracy, professional demeanor, and collaboration with wealth management and capital markets teams.