Advisory Project Manager

    • Job Tracking ID: 85444-351784
    • Job Location: Seattle, WA
    • Job Level: Any
    • Level of Education: BA/BS
    • Job Type: Full-Time/Regular
    • Date Updated: 10/27/2022
    • Years of Experience: 7+
    • Starting Date: ASAP
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Job Description

The Advisory Project Manager will support the D.A. Davidson Director of Products by providing subject matter expertise to advance advisory program needs. This person will have in-depth knowledge of the onboarding, supervision and operational process of Advisory Programs including; Discretionary Advisor as Portfolio Manager, Non-discretionary Rep as PM, MF/ETF wrap programs, Separate Accounts, Unified Managed Accounts and others.  This role will collaborate with leaders within the organization to broaden the D.A. Davidson product offerings in a highly regulated environment. This role will also help to provide strategic direction for the department alongside leadership of the Advisor Solutions Team (AST). Innovation is a core value of AST, and this leader will be expected to understand business trends, as well as industry regulation and provide relevant thought leadership to the team. 


Experience and Skills

• Bachelor’s Degree and a minimum of 7 years of relative professional experience
• In-depth understanding of the supervision and regulations concerning advisory programs
• Prior experience drafting policies and procedures for advisory programs
• Proven ability to think strategically and to implement initiatives that support Wealth Management’s strategic direction
• Leadership capabilities to see projects and initiatives to completion and to carry out the mission of the department
• Excellent communication (oral and written), strong project management skills, and the ability to collaborate across business units and teams
• Excellent inter-personal and relationship-building skills
• Flexibility to occasionally travel to branches in the Davidson footprint, sometimes with short notice
• Series 7, 65/66 preferred

• Ensure that the policies and procedures on existing programs are robust, consistent, and kept current with firm and regulatory standards on an ongoing basis
• Assist product sponsors with procedure design and implementation of new advisory products
• Enhance team’s ability to identify, measure, report and mitigate risks
• Develop an understanding of how Financial Advisors utilize advisory products and facilitate a workflow that enables ease of use
• Manage projects, including formulating project plans and timelines, facilitating working sessions, reporting on progress, and driving execution
• Educate both home office employees and advisors on product policies and procedures as it relates to regulatory requirements
• Assist with the development of relevant surveillance and supervisory programs
• Work in close collaboration with the Supervision, Compliance and Legal teams, to build and maintain key relationships, to promote a culture of engagement and connectivity
• Provide analysis for DOL rollover standards, monitor and follow up on deliverables, and provide supervision updates as needed
• Help to limit the firm’s regulatory and reputational risk and reinforce the firm’s culture of compliance
• Stay current with regulatory and business best practices through participation in industry events and continuing education.
• Establish firm’s reputation as a thought leader in the product offering space
• Performs other duties 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.