Compliance Associate

    • Job Tracking ID: 85444-333721
    • Job Location: Great Falls, MT
    • Job Level: Any
    • Level of Education: BA/BS
    • Job Type: Full-Time/Regular
    • Date Updated: 11/03/2021
    • Years of Experience: Any
    • Starting Date: ASAP
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Job Description

Summary/Function:

The Compliance Associate/Senior Compliance Associate role is designed for those entering the securities industry for the first time or for current employees within the industry with limited experience or with minimal or no securities licenses.

The Compliance Associate/Senior Compliance Associate will support the Wealth Management Compliance Department with branch examination preparation for D.A. Davidson Wealth Management branch offices, assist with regulatory and complaint responses, perform data analysis, complete policy and procedure reviews and updates, conduct regulatory research, and draft branch communications.

Successful candidates will be eligible to mature into Compliance Examiner and Compliance Analyst roles.

 

Experience and Skills

Qualifications:
* Bachelor’s degree in Business, Finance or related Field, or relevant professional work experience in the financial services industry is preferred.
* Basic knowledge of financial markets and investment products; and ability and willingness to expand knowledge.
* Successfully obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months. Opportunity to obtain additional securities licenses (Series 7, 24, 66).

Skills:
* Project a professional and personable manner at all times.
* Ability to work in a computerized environment; Advanced knowledge of Microsoft Office products. Additional technology skills are desired.
* Strong written, oral and human relations skills; position deals with senior management, industry examiners, outside auditors, customers, law firms, financial institutions and financial professionals
* Ability and willingness to travel up to 10% of the time.
* Ability to effectively communicate policies and regulations to others.
* Strong attention to detail and organizational skills.
* Ability and desire to learn about the securities industry and establish a career path.
* Ability to prioritize, plan and meet deadlines as well as work independently.

Duties:
* Assists the Compliance Department with tasks requiring varying skill levels and strict attention to detail.
* Performs data collection in compliance with examination program requirements.
* Analyzes collected data to identify irregularities, trends and patterns.
* Monitors group mailboxes and responds to or distributes requests to the appropriate Compliance personnel.
* Maintains department books and records.
* Additional responsibilities as assigned.

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, gender, 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.