Compliance Associate (Junior)

United States·PatersonRemoteFull Timeentry

OtherCompliance Associate

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Quick Summary

Requirements Summary

KNOWLEDGE, EXPERIENCE, AND EDUCATION REQUIREMENTS:• Bachelor’s degree in business, finance, or a related field, or relevant professional experience in the financial services industry.

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OtherCompliance Associate

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 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.

Responsibilities

~3 min read

The Compliance Associate will support the Department by assisting in the day-to-day compliance program duties, including the branch examination program, the Anti-Money Laundering (“AML”) program, and providing general support to branch associates and internal business and supervision partners, including wealth management and capital markets. On an as needed basis, the Compliance Associate may help support associate disclosure processes, customer complaints, and/or other projects as assigned.

ADDITIONAL RESPONSIBILITIES:
• Performs data collection in accordance with branch examination program requirements and helps analyze collected data to identify irregularities, trends, and patterns.
• May accompany Compliance Examiners, both wealth management and capital markets, during onsite/virtual examinations to help evaluate compliance with Firm policies, WSPs, and industry regulations, as needed.
• Assists with the administration of associate disclosures including OBAs, PSTs, OIAs and political contributions, and semiannual and annual certifications in Comply.
• Assists the AML Compliance Officer with transaction monitoring, as needed.
• Assists with the administration of customer complaints, as needed.
• Assists with monitoring, responding to, and/or redirecting inquiries and questions sent to the Compliance Department inbox.
• Additional duties and responsibilities as identified, needed, and assigned.

What we offer:
Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The potential base pay hiring range for this role is $20.95-$31.43 per hour. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

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.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.