Compliance Analyst - Advertising and Communications
Davenport & Complany LLC
Location: Richmond, VA
Department: Compliance
Schedule flexibility with remote option
OVERVIEW:
Davenport & Company LLC seeks a Compliance Analyst to join its growing team of experienced and dedicated professionals. The Compliance Analyst – Advertising and Communications, is responsible for providing advertising review as well as oversight and support for a dually registered broker-dealer and investment adviser. As part of the Compliance Department, the Analyst will work with all levels of associates and will lead or assist with projects and initiatives including advertising review, participation on branch examinations, and special projects.
RESPONSIBILITIES:
Responsibilities of this position include, but are not limited to:
Reviewing and approving all advertising and communications for the firm, which includes both broker-dealer and advisory materials
Reviewing RFPs and due diligence materials
Filing materials with regulators as needed
Developing and providing communication and disclosure training
Working with other members of the compliance team to ensure that compliance documents and the Compliance Audit Program are current, and to identify and address areas for improvement
Monitor and implement responses to regulatory developments that impact the business units
Working with the Compliance team regarding firm wide compliance issues and projects
Maintaining compliance manuals and training guides
QUALIFICATIONS:
Davenport seeks a highly motivated and capable professional with a demonstrated history of excellence. Successful candidates will present:
Team player, committed to excellence
2 years or more experience in a supervision or compliance role, preferably in a dually registered broker-dealer/investment adviser
Bachelor’s degree and/or equivalent experience
Relevant industry registrations are highly desired, including Series 65 or 66, 7, and 24 (or the ability to obtain within 90 days)
Knowledge of industry rules and regulations regarding advertising and communications as well as day-to-day compliance functions
The ability to work with colleagues to devise pragmatic and creative solutions
Detail oriented as well as excellent oral and written communication abilities
Strong judgment skills, and conscientious work ethic
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 an 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.
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.