Compliance Examiner

Wealth Management Compliance Examiner

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 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.

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. 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.