Compliance Associate (Junior)
D.A. DavidsonInvestment Banking company
Great Falls, United StatesJunior
Legal & Compliance
About the role
TL;DR
Junior Compliance Associate to support financial services compliance programs.
- •Davidson Companies is seeking a Junior Compliance Associate to support its compliance program.
- •This role is ideal for individuals new to the financial services industry or those with limited experience.
- •Key Responsibilities Assist in day-to-day compliance program duties, including branch examinations and AML programs.
- •Support branch associates and internal business partners.
- •Perform data collection and analysis for branch examinations.
- •Assist with associate disclosure processes and customer complaints.
- •Requirements Bachelor's degree in business, finance, or related field, or relevant professional experience.
- •Willingness to obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months.
- •Proficiency in Microsoft Office products, especially Excel and PowerPoint.
- •Strong written, oral, and interpersonal skills.
- •Ability to travel up to 10% of the time.
Required skills
ExcelPowerPoint
Domain expertise
fintech
Benefits & perks
Medical, Dental, Vision, 401(k), ESOP contribution, Sick leave, Vacation, Maternity/parental leave, Paid holidays, Professional Development Opportunities, Tuition Reimbursement, Discounted personal insurance, Charitable gift-matching program
Tech stack
ExcelPowerPoint