Junior Compliance Associate

🕒 4 days ago

🦬 Montana, Minnesota – Remote

🦬 Montana – Remote ❄️ Minnesota – Remote

💵 $20 - $31 / hour

⏰ Full Time

🟢 Junior

🚔 Compliance

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D.A. Davidson Companies

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1935

💸 Finance

Finance • Investment Banking • Wealth Management

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.

📋 Description

• Support day-to-day compliance program duties, including the branch examination program and Anti-Money Laundering (AML) program • Provide general support to branch associates and internal business and supervision partners, including wealth management and capital markets • Support associate disclosure processes, customer complaints, and other assigned projects as needed • Collect and analyze branch examination data to identify irregularities, trends, and patterns • Accompany Compliance Examiners during onsite or virtual examinations to evaluate compliance with Firm policies, WSPs, and industry regulations • Assist with administration of associate disclosures and semiannual and annual certifications in Comply • Assist the AML Compliance Officer with transaction monitoring • Assist with administration of customer complaints • Monitor, respond to, and redirect inquiries sent to the Compliance Department inbox

🎯 Requirements

• Bachelor’s degree in business, finance, or a related field, or relevant professional experience in the financial services industry • Basic knowledge of financial markets and investment products • Willingness and ability to obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months of hire • Advanced knowledge of Microsoft Office products • Strong written, oral, and interpersonal skills • Ability and willingness to travel up to 10% of the time • Ability to communicate Firm policies and industry regulations • Strong attention to detail and organizational skills • Ability to prioritize, plan, meet deadlines, and work independently • Professional and personable demeanor • Ability and desire to learn about the financial services industry

🏖️ 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