Compliance Analyst

COMPLIANCE ANALYST

Location: On-site in Richmond, VA

Department: Compliance

Salary Range: $55,000 - $65,000

OVERVIEW:

The Compliance department provides regulatory guidance, advice, and support to Davenport, a dually registered broker-dealer and investment advisor. The Firm provides a range of wealth management and financial advisory services, including traditional stock and bond brokerage, professional money management, financial and retirement planning, market research, insurance, and public finance. The position requires excellent analytical and communication skills, and the ability to work on confidential matters. This is a full-time, non-exempt position.

RESPONSIBILITIES:

Responsibilities of this position include, but are not limited to:

• Support the Firm's internal control review program by assisting with the planning and execution of reviews under the direction of the Compliance Manager of Risk and Control, helping to evaluate the design and operating effectiveness of controls, and tracking findings through remediation.
• Support the Firm's vendor management program by assisting with due diligence and ongoing monitoring of vendors, coordinating with vendor relationship owners and internal stakeholders to gather information, track findings, and follow up on remediation items.
• Support the Firm's review of advertising and sales literature to help ensure compliance with regulatory standards and firm policies.
• Acquire, maintain, and continue to develop core skills and knowledge of relevant rules, regulations, and guidelines as issued by the SEC, FINRA, MSRB, and other regulatory bodies
• Answer questions from the field, including the Compliance Hotline and escalate situations as needed
• Other duties as assigned

QUALIFICATIONS:

• Experience in securities, finance, regulatory, or auditing role is preferred. Knowledge of FINRA and SEC rules and regulations is a plus.
• SIE, Series 7, and Series 66 Licensed or must obtain within 1 year from date of hire
• Series 24 Licensed or must obtain within 18 months from date of hire
• Proficiency in Microsoft Outlook, Word, and Excel
• Excellent written and communication skills
• A positive and professional demeanor
• A proactive and diligent manner governed by high ethical standards
• Strong organizational skills and the ability to understand complex rules and policies
• Ability to manage multiple tasks and meet required deadlines
• Flexibility to perform additional tasks as business needs change within the department

SALARY & BENEFITS:

We offer a competitive salary and excellent benefit program, including safe harbor 401(k) contribution, profit sharing plan, disability and life insurance, high-deductible health plan with a HSA, an on-site Health Center, Paid Time Off and elective dental benefits. We offer wellness programs and support a friendly and collegial culture, with company sponsored volunteer opportunities during business hours.

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

DAVENPORT IS AN EQUAL OPPORTUNITY EMPLOYER
Davenport & Company LLC provides equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.