Compliance Analyst, Advisory

    • Job Tracking ID: 85444-295043
    • Job Location: TBD, Open
      Portland, OR,
      Seattle, WA,
      Denver, CO,
      Great Falls, MT
    • Job Level: Mid Career (2+ years)
    • Level of Education: BA/BS
    • Job Type: Full-Time/Regular
    • Date Updated: 12/04/2019
    • Years of Experience: 3+
    • Starting Date: ASAP
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Job Description

The Compliance Analyst is responsible for performing specific duties in support of the compliance program functions and initiatives for D.A. Davidson Companies’ investment adviser subsidiaries - D.A. Davidson & Co., (D.A. Davidson), Davidson Investment Advisers (DIA), and Davidson Fixed Income Capital Management (DFIM). This includes responsibilities related to the day-to-day compliance program duties and operations as well as technical support for compliance requests and projects. The Compliance Analyst will also play a key role in the ongoing development and execution of annual compliance program reviews for D.A. Davidson, DIA and DFIM. This involves research and data analytics for internal testing to help ensure D.A. Davidson policies, procedures and other controls are reasonably designed to prevent or mitigate specific risks and achieve compliance with securities laws, rules and regulations. The Compliance Analyst will also be responsible for performing other assigned duties in support of the compliance and risk programs, technology initiatives and departmental projects as needed.

Experience and Skills

Qualifications:
• Bachelor’s degree in Business Management, Finance, Economics, Computer Science, Information Technology or Systems, Engineering, or similar endeavor.
• 3-5 of progressively responsible, related work experience.
• Series 7, 24, 63 and 65 or 66 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 rules and interpretations (fiduciary requirements), FINRA and MSRB rules, and the Securities Exchange Act of 1933.
• Strong Information Technology knowledge and 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.
• Data management and analytical skills, programing experience, and credentials and ability to improve information systems and efficiencies is desired but not required.
• 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 little direction.
• Sound judgment, initiative and good decision-making and organizational skills.
• Ability to independently handle multiple tasks and complete within a timely manner. 

Duties:
• Support the interim and annual risk and control assessments for critical areas and processes as part of the annual compliance review for D.A Davidson, DIA and DFIM.
• Perform data analytics and assessments to help test the effectiveness of the firm’s policies, procedures and other controls designed to prevent or mitigate risk to the firm.
• Assist with preparation and issuance of reports to senior management and work with compliance staff, assigned managers and process owners on necessary follow-up and remediation actions to address any deficiencies found in annual reviews.
• Provide support to help streamline disclosure processes (e.g. Form ADV filings and delivery), advertising reviews, compliance and regulatory requests and other compliance support functions.
• Assist in identifying and researching new rules, regulations, and laws that impact the advisory businesses for D.A. Davidson, DIA and DFIM, and assist in the development or modification of policies/procedures and surveillance systems to address any changes.
• Support the development and administration of the investment adviser written policies and procedures manuals, including publishing periodic updates to said procedures, reminders, and guidance.
• Project management and project team support for departmental projects and company-wide initiatives.
• Assist the Chief Compliance Officer and department with responses to securities regulatory agencies (SEC, FINRA, State Securities Administrators, etc.) as assigned.
• Assist with the development of branch and departmental review process including required checklists and procedures to be utilized during these reviews. Provide back-up in conducting annual branch reviews and compliance meetings with personnel.
• Perform other duties that may be necessary as assigned.