Compliance Examiner - Wealth Management
Summary/Function:
As a member of the Wealth Management Examination Team and under limited supervision, uses knowledge of the brokerage and investment advisory rules and regulations, obtained through education and/or experience, training and/or certification, to conduct onsite compliance examinations of D.A. Davidson Wealth Management branch offices. Position acts as ongoing compliance contact for the assigned branch offices. May support projects of broad to moderate scope/levels of complexity. Knowledge of a broad range of products and services in addition to brokerage and advisory experience desired. Maintains contact with internal and external customers to identify, communicate, research, and resolve problems including but not limited to client complaints and regulatory inquiries and investigations.
Keyword: Compliance Examiner - Wealth Management
Required Experience:
Qualifications:
FINRA SIE, Series 7, Series 65/66 and Series 9 and 10 or Series 24 licenses required. May consider those without Series 9 and 10 or Series 24 with ability and willingness to obtain Series 24 license within 4 months of starting the position.
Bachelors 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 securities concepts, practices, laws and regulations; includes FINRA, SEC, MSRB and state jurisdiction rules and regulations related to securities compliance.
Experience conducting oversight of supervisory processes desired.
Skills:
Strong written, oral, and human relations skills; position deals with senior management, industry examiners, outside auditors, clients, law firms, financial institutions, Financial Professionals, and Branch Managers.
Ability to provide interpretive guidance and use independent judgement in moderate to complex situations.
Ability to prioritize, plan, and meet Firm and regulatory deadlines.
Ability to work in a computerized environment; proficient with Microsoft Outlook, Word, and Excel. Advanced technology skills desired and welcomed.
Projects a professional and personable manner at all times.
Ability and willingness to commit over 35% of time to travel
Detail-oriented and capable of working with a high level of accuracy
Ability to handle confidential information and matters with discretion
Ability to handle multiple tasks with increasing independence and complete within a timely manner
Ability to work cohesively with others in organizing projects and tasks within the department
Ability to understand and continue to pursue knowledge of the compliance function both within the various departments and business lines of D.A. Davidson and the industry
Duties:
Acts as compliance contact for designated branch offices
Schedules assigned examinations and manages examination-related travel expenses
Performs data collection in compliance with examination program requirements
Analyzes collected data to identify irregularities, trends and patterns
Conducts onsite examinations to evaluate compliance with written policies and procedures
Drafts and distributes examination related communications to internal customers, external customers, business unit supervisors and management
Reviews exception and other internal reports in compliance with written policies and procedures
Alerts appropriate parties of identified issues and escalates items, as appropriate
Assists in the investigation, review and follow-up on customer complaints, arbitrations, regulatory investigations and inquiries as they related to assigned branch offices
Contributes to meeting team goals; participates in open and clear communications
Participates in addressing sensitive compliance issues with management in assigned functional area
Recommends process improvements to enhance the effectiveness and efficiency of branch-related and Firm-level processes
Maintains required 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 $60,000 - $80,000. 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 are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, 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.
From: D.A. Davidson Companies
Remote
About the Company:
D.A. Davidson Companies
Apply Now
As a member of the Wealth Management Examination Team and under limited supervision, uses knowledge of the brokerage and investment advisory rules and regulations, obtained through education and/or experience, training and/or certification, to conduct onsite compliance examinations of D.A. Davidson Wealth Management branch offices. Position acts as ongoing compliance contact for the assigned branch offices. May support projects of broad to moderate scope/levels of complexity. Knowledge of a broad range of products and services in addition to brokerage and advisory experience desired. Maintains contact with internal and external customers to identify, communicate, research, and resolve problems including but not limited to client complaints and regulatory inquiries and investigations.
Keyword: Compliance Examiner - Wealth Management
Required Experience:
Qualifications:
FINRA SIE, Series 7, Series 65/66 and Series 9 and 10 or Series 24 licenses required. May consider those without Series 9 and 10 or Series 24 with ability and willingness to obtain Series 24 license within 4 months of starting the position.
Bachelors 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 securities concepts, practices, laws and regulations; includes FINRA, SEC, MSRB and state jurisdiction rules and regulations related to securities compliance.
Experience conducting oversight of supervisory processes desired.
Skills:
Strong written, oral, and human relations skills; position deals with senior management, industry examiners, outside auditors, clients, law firms, financial institutions, Financial Professionals, and Branch Managers.
Ability to provide interpretive guidance and use independent judgement in moderate to complex situations.
Ability to prioritize, plan, and meet Firm and regulatory deadlines.
Ability to work in a computerized environment; proficient with Microsoft Outlook, Word, and Excel. Advanced technology skills desired and welcomed.
Projects a professional and personable manner at all times.
Ability and willingness to commit over 35% of time to travel
Detail-oriented and capable of working with a high level of accuracy
Ability to handle confidential information and matters with discretion
Ability to handle multiple tasks with increasing independence and complete within a timely manner
Ability to work cohesively with others in organizing projects and tasks within the department
Ability to understand and continue to pursue knowledge of the compliance function both within the various departments and business lines of D.A. Davidson and the industry
Duties:
Acts as compliance contact for designated branch offices
Schedules assigned examinations and manages examination-related travel expenses
Performs data collection in compliance with examination program requirements
Analyzes collected data to identify irregularities, trends and patterns
Conducts onsite examinations to evaluate compliance with written policies and procedures
Drafts and distributes examination related communications to internal customers, external customers, business unit supervisors and management
Reviews exception and other internal reports in compliance with written policies and procedures
Alerts appropriate parties of identified issues and escalates items, as appropriate
Assists in the investigation, review and follow-up on customer complaints, arbitrations, regulatory investigations and inquiries as they related to assigned branch offices
Contributes to meeting team goals; participates in open and clear communications
Participates in addressing sensitive compliance issues with management in assigned functional area
Recommends process improvements to enhance the effectiveness and efficiency of branch-related and Firm-level processes
Maintains required 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 $60,000 - $80,000. 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 are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, 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.
From: D.A. Davidson Companies
Remote
About the Company:
D.A. Davidson Companies
Apply Now