Senior Compliance Officer - Investment Advisory

March 26

☕ Washington – Remote

Although this job is listed in Washington, this company may be open to hiring remote in other states.

💵 $90k - $125k / year

⏰ Full Time

🟠 Senior

💸 Financial Planning and Analysis

Apply Now

Receive Emails with Similar Jobs

D.A. Davidson Companies

WebsiteLinkedInAll Job Openings

D. A. Davidson Companies is a comprehensive financial services company that offers a wide array of services to individual investors, corporations, and institutions. With a history of 88 years, they provide wealth management, equity capital markets, investment banking, and trust services. D. A. Davidson is committed to guiding clients through life's key financial moments with services like retirement planning, estate planning, education planning, and more. Additionally, they are involved in public finance, offering expertise in municipal advisory services, tribal financing, and fixed income capital markets. Renowned for their professional money management and advisory solutions, D. A. Davidson emphasizes personalized client service and strategic investment advice. Their investment advisors use a research-based approach to ensure client portfolios align with their financial goals. The firm's dedicated team is also involved in community empowerment initiatives nationwide, leveraging their extensive knowledge in various sectors to benefit the communities they serve.

Wealth management • financial planning • equity & fixed income capital markets • investment banking • award-winning research

1001 - 5000 employees

Founded 1935

💸 Finance

📋 Description

•D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 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. •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. •We are seeking an Investment Advisor (“IA”) Compliance Officer or Senior Compliance Officer for a leadership role in the administration of D.A. Davidson’s Investment Adviser Compliance Program. •A successful candidate will provide leadership and execute on Compliance Department and Firm initiatives and ensure adherence with investment advisory rules and regulations. •The IA Compliance Officer/Senior Compliance Officer will support the Chief Compliance Officer and Deputy Chief Compliance Officer – Wealth Management in all aspects of the Firm’s investment adviser compliance program. •The role requires extensive knowledge of establishing and testing internal controls as they relate to the investment advisory services offered by D. A. Davidson. •This role will work closely with business line managers, Marketing and Investment Advisory Supervision, Operations, Legal, Compliance, regulators, and internal and external auditors as needed.

🎯 Requirements

•Bachelor’s degree in business management, Finance, Economics, or similar endeavor. •Significant knowledge of concepts, practices, and procedures of the securities industry, particularly the investment advisory business in a dually registered broker dealer/registered investment adviser •5+ years of progressively responsible, investment advisory compliance related work experience preferred. •Series 7, 63 and 65, or 66, licenses. Series 24 or 9/10 required or the ability to obtain within 6 months of employment. •Excellent presentation, training and education skills with strong interpersonal skills and the ability to establish and maintain effective working relationships with peers, senior management and strategic partners. •Experience and aptitude for understanding business ethics and complex securities laws, rules and regulations, including but not limited to the Investment Advisers Act of 1940, SEC, FINRA and MSRB rules, and the Securities Exchange Act of 1933. •Strong experience in various software, applications including but not limited MS Office applications and financial industry applications and platforms (e.g., Envestnet, ProSurv, Thomson Reuters, and Refinitiv/BETA) a plus. •Project management experience and a proven ability to track, prioritize, and execute project tasks and well as provide status updates. PMP, PMI or related certifications is desired but not required. •Detail-oriented and capable of working with a high level of accuracy. •Ability to articulate company and regulatory standards to all levels of the organization. •Ability to work cohesively with others in organizing projects, and in developing processes and addressing areas of risk. •Ability to handle confidential information and matters with discretion. •Ability to work independently and in pressure situations with limited direction. •Sound judgment, initiative and good decision-making and organizational skills. •Ability to independently handle multiple tasks and complete within a timely manner.

🏖️ Benefits

•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.