Compliance Examiner

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.

Summary/Function:
D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments. The firm has operations across the United States.
The Wealth Management (WM) Compliance Examiner conducts onsite and virtual examinations of D.A. Davidson WM branch offices, acts as an ongoing compliance contact for branch offices, and supports adherence with industry rules and regulations.
Qualifications:
•    FINRA SIE, Series 7, Series 65 or 66, and Series 9 and 10 or Series 24 licensing required. May consider candidates without required principal licensure (i.e., 9/10 or 24) provided they are able and willing to obtain within 6 months of starting the position.
•    Bachelor’s 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 investment concepts, practices, laws, and regulations; includes FINRA, SEC, MSRB and state/jurisdiction rules and regulations related to securities and investment advisory compliance.
•    Experience conducting surveillance oversight of Firm supervis...