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Compliance Examiner, Capital Markets

Summary:

Investigate, establish, maintain, and enforce regulatory policies and procedures for Capital Markets through various surveillance activities to ensure adherence with regulatory agencies, securities exchanges, states, Firm policies and procedures, rules and regulations, and laws.

Qualifications:

Individual filling this position should have the following qualifications:

  • Bachelor’s degree in Business, Finance, or related Field or significant industry work experience
  • Proficient knowledge of FINRA, SEC, MSRB, and state jurisdiction rules and regulations related to securities compliance
  • Successful completion of FINRA General Securities Representative Exam (Series 7), General Principal’s Exam (Series 24), and the Municipal Securities Principal Exam (Series 53), Uniform Combined Securities State Law Exam (Series 66) within 180 days if the licenses are not currently held
  • Strong written and oral communication and interpersonal skills; ability to work with others in a professional manner in a variety of situations
  • Strong computer skills; proficiency with Microsoft Office Suite required
  • Ability to interpret and advise on a broad range of regulatory issues with regard to a variety of products and services
  • Ability to handle confidential information and matters with discretion
  • Attention to detail while maintaining a big picture orientation
  • Demonstrated initiative and ability to work independently
  • Proven track record of ability to effectively communicate with regulators
  • Ability to work well under pressure and handle multiple priorities while maintaining a positive and productive attitude
  • Ability and willingness to travel (approximately 25% per year)

Duties:

  • Perform targeted sweep reviews to identify possible violations of industry rules and regulations and firm policies and procedures with an emphasis on Sales and Trading sales practices
  • Work with the Capital Markets Compliance team, Operations, and FICM and ECM business personnel on items needing additional follow-up and further inquiry; prepare written reports to management documenting all areas of potential non-compliance
  • Develop a corrective plan and perform additional surveillance to ensure ongoing compliance
  • Prepare training materials for required training sessions, such as the Firm Element Continuing Education and Annual Compliance Meeting sessions, for registered associates, non-registered support staff in the branches, and operational positions
  • Assist in the update, distribution, and confirmation of completion of all the Firm’s disclosure and audit forms each year (e.g. Annual Certification, Outside Business Activity, Firm Element Training, etc.)
  • Identify and research new rules, regulations, and laws that will impact D.A. Davidson and Capital Markets policies and procedures
  • Assist in the development, implementation or modification of policies and procedures to address changes; communicate resulting process to all Capital Markets employees; review and contribute to Department discussions regarding Notices to Members, press releases, Federal Register notices and other items published on changes within the industry
  • Posted: Mar 01, 2017

  • Location: Denver, CO