Compliance Examiner - Capital Markets

    • Job Tracking ID: 85444-311071
    • Job Location: Dallas, TX
    • Job Level: Mid Career (2+ years)
    • Level of Education: BA/BS
    • Job Type: Full-Time/Regular
    • Date Updated: 01/12/2021
    • Years of Experience: Any
    • Starting Date: ASAP
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Job 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. You can learn more about our company culture and impact in our latest annual report.

The Compliance Department is responsible for assisting Senior Management in establishing, maintaining and enforcing a supervisory system to reasonably supervise activities of business divisions and support departments in order to ensure company compliance with federal and state securities laws and regulatory mandates of FINRA, SEC, MSRB, and company policies and procedures. This position is primarily responsible for performing various compliance and audit functions for Capital Markets (both equity and fixed income) to ensure compliance with rules, regulations, and procedures established by the company and/or regulatory agencies.

Experience and Skills

Principal duties:

1. Perform Capital Markets targeted reviews to identify possible violations of industry rules and regulations and firm policies and procedures. Work with the various departments needing additional follow-up and/or further inquiry. Prepare written reports detailing potential non-compliance, develop a corrective plan and perform additional surveillance to ensure ongoing compliance.
2. Assist in the development, coordination and completion of the Firm’s branch office examination program. Prepare written reports to senior management documenting all areas of non-compliance and develop a corrective action plan to ensure compliance.
3. Identify and research new rules, regulations and laws that will impact D.A. Davidson and Capital Markets policies and procedures. Assist in the development, implementation or modification of policies and procedures to address changes. Review and contribute to Department discussions regarding Notices to Members, press releases, Federal Register notices and other items published on regulatory changes.
4. Prepare training materials for required training sessions and topic-specific training.
5. Assist in the update, distribution, and confirmation of completion of all the Firm’s disclosure forms each year (e.g. Annual Certification, Outside Business Activity, Firm Element Training, etc.). Assist in monitoring for personal trading accounts in line with the Firm’s requirements and trading policies.
6. Perform any other duties that may be assigned.


* Bachelor’s degree in Business, Finance or significant industry work experience.
* Knowledge of FINRA, SEC, MSRB and state jurisdiction rules and regulations related to securities compliance.
* Successful completion of FINRA Securities Industry Essentials Exam and General Securities Representative Exam (Series 7), Uniform Combined Securities State Law Exam (Series 66), General Securities Principal (Series 24) and Municipal Securities Principal Exam (Series 53) within 180 days if the licenses are not currently held.
* Strong written and verbal communication and interpersonal skills. Ability to work with others in a professional manner in a variety of situations.
* Strong computer skills. Proficient with Microsoft Office Suite required. Experience and understanding of Excel and Tableau is huge plus.
* Ability to handle confidential information and matters with discretion.
* Attention to detail while maintaining a big picture orientation.
* Demonstrated initiative, desire to challenge the process and ability to work independently.
* Ability to work well under pressure and balance multiple priorities while maintaining a positive and productive demeanor.
* Ability and willingness to travel. (approximately 25% per year)

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.