Equity Capital Markets Compliance Examiner

    • Job Tracking ID: 85444-286425
    • Job Location: Portland, ORE
    • Job Level: Mid Career (2+ years)
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 05/15/2019
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

Perform compliance and monitoring functions to ensure compliance with various regulatory agencies, exchanges, States and Firm rules and regulations pertaining to the Firm’s Equity Capital Markets’ ("ECM") Division.

Experience and Skills

* Bachelor’s Degree in Finance, Accounting, or Business related field; or relevant securities industry experience: 3-4 years’ industry experience preferred with focus in Equity Capital Markets desired.
* Series 7, 24, 63 and 65 (or combined 66), 57 and 79 licenses or willingness to obtain
* Significant knowledge of concepts, practices and procedures of the securities industry, particularly relating to Equity Capital Markets including, Investment Banking, Research, Institutional Sales & Trading and Syndicate
* Excellent written, verbal and human relations skills; the position deals with division managers, industry examiners, outside auditors, customers, law firms, and financial institutions
* Proficient computer skills, including word processing and spreadsheets (Word, Excel, Outlook); experience with industry-specific applications, such as Order Management Systems and programs a plus
* Detail-oriented and capable of working with a high level of accuracy, while prioritizing with minimal supervision
* Ability to handle confidential information and matters with discretion
* Ability to use independent judgment on a variety of compliance issues
* Ability to adapt to change, flexibility

* Identify and research new rules, regulations, and laws that will impact D.A. Davidson policies and procedures (primarily those related to Investment Banking, Research, Institutional Sales & Trading, Market Making and Syndicate); work directly with the Senior Leaders within ECM in the development or modification of policies and procedures to address changes, and communicate resulting process to ECM and/or Firm employees; act as lead reviewer and coordinator of updates to the Written Supervisory Procedures ("WSPs") and various desk procedures as they relate to ECM
* Development and coordination of the Firms’ branch office examination program as it pertains to ECM. Schedule and conduct branch examinations to ensure compliance with applicable securities industry regulations and the Firm’s policies and procedures; prepare written reports to senior management documenting all areas of non-compliance and develop a corrective action plan to ensure compliance
* Develop and conduct various compliance training presentations/sessions for ECM including the annual compliance meeting with all registered individuals within ECM in order to fulfill regulatory requirements and maintain a well-informed and educated staff
* Research and respond to various departmental inquiries directed to the Compliance Department. Participate in addressing and resolving sensitive compliance issues with the various departments within D.A. Davidson
* Coordinate with various members of the Compliance Department on necessary changes to the examination program resulting from regulatory or Firm changes in processes; work with the team of business unit contacts in developing risk reporting on a quarterly basis to the Chief Compliance Officer
* Execute periodic testing and reviews of ECM processes as required under FINRA Rule 3120 and SEC Rule 15c3-5; draft reports detailing testing results and facilitate sub-certification process with senior business leadership
* Support regulatory exams according to documented compliance procedures, including facilitation of document production, periodic status updates, interaction with regulators and examiners, meeting facilitation, and other logistical matters
* Assist in responding to regulatory inquiries
* Under direction of the Director of Capital Markets Compliance, support special projects or initiatives related to the strategic operation of the Compliance team
* Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA; participate in and attend various industry conferences and seminars as necessary or requested for continuing education purposes