Compliance & Operations Coordinator

Summary/Function:This is a senior level associate position on the D.A. Davidson Trust Company (DTC) team. Contribute to effective business operations through the support of operational functions for DTC. In addition, perform regular compliance testing to ensure the DTC is in alignment with its risk management program. 

Qualifications:

•    High School diploma and/or equivalent work experience; Associate or Bachelor’s Degree a plusEffective communication skills both verbal and written
•    Proven analytical ability and detail orientation with ability to manage client and firm prioritiesStrong computer skills, currently Microsoft Suite of products and ability to learn proprietary bank platforms and software
•    Ability to maintain client confidentialityAbility to work effectively as part of a team
•    Ability to maintain regular, predictable attendance; ability to work overtime if needed

Duties:Provide support to DTC’s Compliance Officer and Operations team

•    Perform routine risk testing (daily, monthly, quarterly, annually) as outlined by DTC’s risk matrix; surface any findings through the appropriate channelSupport the DTC Compliance Officer on external/internal audit coordination
•    Attend DTC’s weekly Risk Committee meeting and keep ongoing log of compliance related projects/policy updatesPerform routine operations reporting (daily, monthly, quarterly, annually)
•    Online access support for clients and internal communication with Operations teamCoordination of corporate actions received
•    Perform any other duties and special projects assigned.

What we offer:Competitive salary plus excellent benefits and perks including, but not limited to:  

•    Medical, Dental and VisionCompany 401(k)and ESOP contribution 
•    Generous sick, vacation, and maternity/parental leavePaid holidays
•    Professional Development OpportunitiesTuition Reimbursement ($15,000 lifetime cap)
•    Discounted personal insurance including home, auto and recreational vehiclesDavidson Day of Giving – Our tradition of positively impacting communities in which we live and work.  

  The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

  D.A. Davidson has been in business for 90 years! Our success is driven by our high standards of business ethics, integrity and conduct and the belief that our Associates are our most important assets.  We hope you will consider joining us! 

  At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.
  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.
  ACKNOWLEDGMENT
  Please answer all questions carefully.  By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.