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Senior Compliance Officer, Operations, IT

4 months ago

Minneapolis, United States D.A. Davidson Full time

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Job Description

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.

We are a seeking a Senior Compliance Officer experienced in broker dealer compliance functions that support the Operations, Finance, and Information Technology departments.

KEY RESPONSIBILITIES

The ideal candidate for the Senior Compliance Officer, Operations, IT, Finance role will be experienced in building strong relationships with senior leaders across critical support functions to ensure compliance with various rules and regulations of regulatory agencies, exchanges, and states and Firm policies and procedures. Prior experience at a self-clearing broker dealer and experience working with BETA are a plus.

Experience and Skills

ADDITIONAL RESPONSIBILITIES:

* Responsible for coordinating regulatory examinations and inquiries that relate to Operations, IT, and Finance. Must be able to communicate confidently and effectively with examiners and address any issues that arise. Track open items during an exam and work with the responsible department manager to develop action plans to address any exceptions that are noted or recommendations made by the examiner. Experience establishing and maintaining dialogue and the negotiation of deliverables with regulators preferred.
* Develop and maintain strong relationships with managers within the Operations, IT, and Finance departments. Regularly participate in meetings conducted by these groups and provide a regulatory perspective on trends and items that have come under regulatory scrutiny.
* Responsible for understanding new and existing FINRA, SEC, MSRB, and state rules and regulations that pertain to the Operations, IT, and Finance departments and work collaboratively with those groups to ensure that D.A. Davidson is in compliance with them. Serve as a resource and advisor to those groups and help them understand the critical nature of those regulations as well as the risk of not fully complying with them. Participate in discussions with those groups and provide guidance as needed or as requested.
* Coordinate updates to Written Supervisory Procedures that impact the Operations, IT, and Finance departments as new rules become effective or clarification must be made to existing rules, regulations, and policies.
* Develop and implement periodic monitoring and testing of functions performed in the Operations, Finance, and IT departments in support of D.A. Davidson's FINRA Rule 3120 and 3130, and Investment Adviser's Act Rule 206(4)-7 testing and reporting programs.
* Develop annual Compliance training for Operations, IT, and Finance personnel that encompasses regulatory focus items, new or modified rules from FINRA, the SEC or the MSRB, and reminders of certain firm policies.
* Responsible for participation and coordination of various periodic Operations reviews/reports including: annual Designated Third Party Review with D.A. Davidson's industry partner to ensure that the required books and records of the firm are maintained per the requirements of SEC Rule 17a-4; updates to the Client Annual Disclosure Statement; confirmation statement testing; and other required periodic client mailings/disclosures.
* Assist with the maintenance of D.A. Davidson's record retention list. Work with the appropriate parties to ensure that D.A. Davidson can operationally comply with various record-retention requirements including state privacy law requirements. Participate in discussions regarding the firm's safeguards for protecting client and proprietary data.
* Participate in key industry trade associations, committees, and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA; participate in and attend various industry conferences and seminars as necessary or requested for continuing education purposes.

KNOWLEDGE, EXPERIENCE, AND EDUCATION REQUIREMENTS

* Robust compliance experience and knowledge of financial markets, trading, asset classes, and products.
* University degree or other equivalent professional qualification with a focus on Finance or Accounting preferred or relevant securities industry experience. Seven or more years' of securities industry compliance experience preferred.
* FINRA SIE, Series 7, Series 9/10 or Series 24 licenses required. Series 27 preferred, or willingness to obtain within six months of accepting position.
* Significant knowledge of concepts, practices, and procedures of the securities industry, particularly focused on the Operations, IT, and Finance functions. Must have a strong understanding of a firm back-office and financial reporting functions such as reserve formula, FOCUS report, possession and control, stock record, general ledger, trade blotters, margin requirements, time critical regulatory functions (e.g., buy-ins, sell outs), record retention, access control procedures, and cybersecurity.
* Strong understanding of cybersecurity regulations as they apply to broker dealers and investment advisers.
* Excellent written, verbal, and human relations skills; the position regularly deals with the managers of the various Operations, IT, and Finance departments, as well as regulatory examiners and internal and external auditors.
* Strong organizational, communication, and analytical skills. Project management experience a plus.
* Proficient computer skills, including word processing and spreadsheets (Word, Excel, Outlook, PowerBI, Tableau or similar skills); experience with industry-specific applications and programs a plus.
* Ability to handle confidential information and matters with discretion.
* Ability to work independently and in high-pressure situations with minimal direction and handle multiple tasks and complete within a timely manner.
* High standard of accuracy and excellent attention to detail.
* A curiosity about and awareness of the financial services regulatory landscape.

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.

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.