Compliance Analyst

Compliance Analyst

Location: On-site in Richmond, VA

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 Compliance Analyst will primarily work with the Firm's AML Officer and Compliance Manager of Risk and Control. 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 of this position include, but are not limited to:

• Assist the AML Officer with account reviews, investigations, and reporting
• Assist the Compliance Manager of Risk and Control with vendor management and internal control reviews
• 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 2 years 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

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.