Junior Compliance Associate: Launch Your Finance Career

D.A. Davidson; Minneapolis (MN); On-site; USD 26,000 - 43,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401(k) plan

ESOP contribution

Sick leave

Vacation leave

Maternity/Parental leave

Tuition reimbursement

Personal insurance discount

Charitable gift-matching

Job summary

D.A. Davidson Companies is a leading independent financial services firm with a 90-year history. We seek a Compliance Associate to support AML, branch examination program, and general compliance duties. This role suits candidates new to financial services or with limited licensure.

The position offers a competitive salary, comprehensive benefits, and opportunities for professional development, with travel up to 10% and a path toward licensure and advancement within Compliance or broader Firm.

Qualifications

• Bachelor's degree in business, finance, or related field, or relevant professional experience in the financial services industry.
• Basic knowledge of financial markets and investment products, and ability and willingness to expand knowledge.
• Willingness and ability to obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months of hire date. Additional licensure opportunities available, subject to supervisory review and approval.
• Exhibits a professional and personable demeanor always.
• Ability to work in a digitized environment with advanced knowledge of Microsoft Office products. Additional technology skills are preferred.
• 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 and willingness to travel up to 10% of the time.
• Ability to effectively communicate Firm policies and industry regulations to others.
• Strong attention to detail and organizational skills.
• Ability and desire to learn about the financial services industry and to support their career path within the Compliance Department or the broader Firm.
• Ability to prioritize, plan, and meet deadlines as well as work independently.

Responsibilities

• Support the Department by assisting in the day-to-day compliance program duties, including the branch examination program, the AML program, and providing general support to branch associates and internal business and supervision partners.
• May help support associate disclosure processes, customer complaints, and/or other projects as assigned.
• Perform data collection in accordance with branch examination program requirements and help analyze collected data to identify irregularities, trends, and patterns.
• May accompany Compliance Examiners during onsite/virtual examinations to help evaluate compliance with Firm policies, WSPs, and industry regulations.
• Assist with the administration of associate disclosures including OBAs, PSTs, OIAs and political contributions, and semiannual and annual certifications in Comply.
• Assist the AML Compliance Officer with transaction monitoring, as needed.
• Assist with the administration of customer complaints, as needed.
• Assist with monitoring, responding to, and/or redirecting inquiries and questions sent to the Compliance Department inbox.
• Additional duties and responsibilities as identified, needed, and assigned.

Skills

Financial markets knowledge

Written communication

Oral communication

Interpersonal skills

Detail oriented

Travel readiness

Microsoft Office

Education

Bachelor's degree in business/finance or related field

Tools

Microsoft Office

Job description

D.A. Davidson Companies is a leading independent financial services firm with a 90-year history. We seek a Compliance Associate to support AML, branch examination program, and general compliance duties. This role suits candidates new to financial services or with limited licensure.

The position offers a competitive salary, comprehensive benefits, and opportunities for professional development, with travel up to 10% and a path toward licensure and advancement within Compliance or broader Firm.