Top 2 Investigations analyst Jobs in Richmond Va

Compliance Analyst
Davenport & Company —Richmond, VA
- $55,000 - $65,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Profit sharing
- Health savings account
9d

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Conduct field investigations and audits of life, health, and annuity insurance agents and agencies to determine compliance with applicable Virginia laws and…
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Regional Fraud Investigator
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Compliance Analyst

Davenport & Company -
Richmond, VA

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Job Details

Full-time
$55,000 - $65,000 a year
9 days ago

Benefits

Profit sharing
Health savings account
Disability insurance
Health insurance
Dental insurance
401(k)
Paid time off
Opportunities for advancement
Life insurance

Qualifications

Series 7
Securities Industry Essentials

Full Job Description

COMPLIANCE ANALYST

Location: On-site in Richmond, VA

Department: Compliance

Hiring Range: $55,000 – $65,000

OVERVIEW:

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:

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

SALARY & BENEFITS:

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

Davenport & Company LLC provides equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.

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