Compliance Analyst, AML

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 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.

D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments. The firm has operations across the United States.

We are a seeking an AML Analyst to assist with all aspects related to the administration of D.A. Davidson’s AML Compliance Program. A successful candidate will review and investigate alerts generated by a transaction monitoring system, conduct customer diligence reviews, assist with regulatory filings, and execute sanctions screening. Responsibilities may include additional activities such as field education, research, and reporting.

Summary:

The AML Analyst is responsible for assisting the AML Compliance Officer (AMLCO) with the implementation of the AML compliance program. This program is reasonably designed to prevent, detect, and investigate instances of suspected money laundering and/or prohibited activity as required by the Firm’s Anti-Money Laundering Compliance Program. 

Qualifications:

•University degree or other equivalent professional qualification.

•1-3 years of experience in financial services or financial crime prevention.

•CAMs (Certified Anti-Money Laundering Specialist) certified or willingness to obtain certification. 

•FINRA SIE, Series 7, Series 63 and 65, or Series 66 licenses required. May consider those without licenses with the ability and willingness to obtain within 12 months of hire.

•General industry experience and knowledge of financial markets, trading, asset classes, and products.

•Strong organizational, communication, and analytical skills.

•Ability to handle confidential information and matters with discretion.

•Strong technology skills; familiarity with Microsoft Teams, Office, and knowledge about the current AML/Sanction experience is preferred.

•Ability to work independently and in high-pressure situations with minimal direction.

•Ability to independently handle and complete multiple tasks within a timely manner.

•High standard of accuracy and excellent attention to detail

Duties:

•Collaborate with Firm personnel, conduct investigations, and resolve questions related to AML policies and procedures.

•Identify and assist with the implementation of process improvements within existing procedures.

•Maintain a thorough understanding of relevant regulatory rules, industry trends, and regulatory guidance related to the Bank Secrecy Act and anti-financial crime.

•The timely completion and submission of key regulatory requirements. 

•Assist with the implementation of regulatory rules and initiatives.

•Work on ad-hoc inquiries and requests from Compliance leadership, regulators, and auditors.

•Build and maintain positive relationships with business partners.

•Perform various other duties as 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

•Charitable gift-matching program

•Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.  

The potential base pay hiring range for this role is $61,431 - $76,788. 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. This role is eligible to participate in applicable D.A. Davidson variable compensation programs.

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.

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