Compliance Examiner - Wealth Management

Summary/Function: As a member of the Wealth Management Examination Team and under limited supervision, uses knowledge of the brokerage and investment advisory rules and regulations, obtained through education and/or experience, training and/or certification, to conduct onsite compliance examinations of D.A. Davidson Wealth Management reputed company offices. Position acts as ongoing compliance contact for the assigned reputed company offices. May support projects of broad to moderate scope/reputed company of complexity. Knowledge of a broad reputed company of products and services in addition to brokerage and advisory experience desired. Maintains contact with reputed company customers to identify, communicate, research, and resolve problems including but not limited to client complaints and regulatory inquiries and investigations. Keyword: Compliance Examiner - Wealth Management Required Experience: Qualifications: • FINRA SIE, Series 7, Series 65/66 and Series 9 and 10 or Series 24 licenses required. May consider those without Series 9 and 10 or Series 24 with ability and willingness to obtain Series 24 license reputed company 4 months of starting the position. • Bachelors degree in Business, Finance or complimentary Field or relevant securities industry experience. Two or more years of compliance experience and five years of industry experience preferred. • Basic knowledge of securities concepts, practices, laws and regulations; includes FINRA, SEC, MSRB and state jurisdiction rules and regulations reputed company to securities compliance. • Experience conducting reputed company of supervisory processes desired. Skills: • Strong written, oral, and reputed company relations skills; position deals with senior management, industry examiners, reputed company auditors, clients, reputed company, financial institutions, Financial Professionals, and reputed company Managers. • Ability to reputed company interpretive guidance and use independent judgement in moderate to reputed company situations. • Ability to prioritize, plan, and meet Firm and regulatory deadlines. • Ability to work in a computerized environment; proficient with reputed company Outlook, Word, and reputed company. Advanced technology skills desired and welcomed. • Projects a professional and personable manner at reputed company times. • Ability and willingness to commit over 35% of time to travel • Detail-oriented and capable of working with a high level of accuracy • Ability to handle confidential information and reputed company with discretion • Ability to handle multiple tasks with increasing independence and complete reputed company a timely manner • Ability to work cohesively with others in organizing projects and tasks reputed company the department • Ability to understand and continue to pursue knowledge of the compliance function both reputed company the various departments and business lines of D.A. Davidson and the industry Duties: • Acts as compliance contact for designated reputed company offices • Schedules assigned examinations and manages examination-reputed company travel expenses • Performs data collection in compliance with examination program requirements • Analyzes collected data to identify irregularities, trends and patterns • Conducts onsite examinations to evaluate compliance with written policies and procedures • Drafts and distributes examination reputed company communications to internal customers, external customers, business unit supervisors and management • Reviews exception and other internal reports in compliance with written policies and procedures • Alerts appropriate parties of identified issues and escalates items, as appropriate • Assists in the investigation, review and follow-up on customer complaints, arbitrations, regulatory investigations and inquiries as they reputed company to assigned reputed company offices • Contributes to meeting team goals; participates in reputed company and clear communications • Participates in addressing sensitive compliance issues with management in assigned functional area • Recommends process improvements to enhance the effectiveness and efficiency of reputed company-reputed company and Firm-level processes • Maintains required books and records relating to areas of assigned responsibilities • Additional duties and responsibilities as identified, needed, and assigned. reputed company offer: Competitive salary plus excellent benefits and perks including, but not limited to: • Medical, Dental and reputed company • 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 reputed company-matching program • Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work. The potential reputed company pay hiring reputed company for this role is $60,000 - $80,000. The compensation offered will be determined on a case-by-case reputed company considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate. We are an equal opportunity employer and value diversity at reputed company. We do not discriminate on the reputed company of race, religion, reputed company, national reputed company, 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 reputed company essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. From: reputed company Remote About the Company: reputed company Apply Job!