Compliance & Operations Coordinator

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better.

Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report. 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 plus
• Effective communication skills both verbal and written
• Proven analytical ability and detail orientation with ability to manage client and firm priorities
• Strong computer skills, currently Microsoft Suite of products and ability to learn proprietary bank platforms and software
• Ability to maintain client confidentiality
• Ability 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 channel
• Support 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 updates
• Perform routine operations reporting (daily, monthly, quarterly, annually)
• Online access support for clients and internal communication with Operations team
• Coordination 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 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
• Davidson 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!