D.A. Davidson

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. Summary/Function: D.A. Davidson Companies is seeking a skilled, analytical, and experienced professional to join the Risk Management team as an Associate Vice President (AVP) in Risk Management, focused on financial and market risk management. Reporting to the Chief Risk Officer, in this key role, you will be responsible for analyzing, monitoring, and reporting on enterprise-wide risks, including, but not limited to, market risk related to fixed income and equity trading inventory, credit / counterparty risk, operational risk and funding and liquidity risk. This role will be critical towards the firm’s build out of the enterprise risk management program. Qualifications: • Bachelor’s degree in Finance, Economics or a related field • Advanced degree in Finance, Economics or Risk Management desired • FINRA SIE and Series 99 or the ability to obtain it within 120 days of employment • Minimum of five years experience in financial risk management and capital markets, preferably at a broker-dealer or other financial institution • Experience implementing oversight activities to identify, assess, mitigate and monitor risk exposures • Strong knowledge of the risk control self-assessment process • Experience with the Bloomberg terminal and reporting tools (e.g., Power BI or Tableau) • Proven ability to compute statistical calculations such as VaR and DV01 • Strong problem-solving skills and the ability to think strategically in dynamic and fast-paced environments • Strong communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams and stakeholders at all levels • In depth understanding of regulatory requirements and compliance standards relevant to risk management in the financial services sector • Maintain client and firm confidentiality • Ability to proactively work with both external and internal clients • Ability to relate with others in a professional manner to accomplish work responsibilities and objectives Duties: • Develop robust monitoring and reporting of enterprise-wide current and potential future risk exposures including, but not limited to, market, credit, counterparty, and funding and liquidity • Analyze bank financial and metric data to aid in the production of quarterly bank health reports. • Actively work with business units on the annual risk control self-assessment process. • Conduct and coordinate with the Internal Audit and Compliance teams on control testing. • Prepare materials and participate in firmwide committees along with senior leaders • Work collegially and collaboratively to develop risk mitigation strategies and enhance governance and controls, operational processes, and policy and procedure documentation • Assist with funding and liquidity risk management, including contingency planning • Stay up-to-date on industry trends, regulatory changes, and best practices in risk management, including participating in relevant training • Perform other duties and special projects 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 $82,867-$133,001. 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. $82,867 - $133,001 a year 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.

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description Under the supervision of the Wealth Management Supervisory Officer, Marketing and Planning Services, the Marketing Supervisory Principal serves as a marketing expert within the supervisory team and a resource for various departments and the front office regarding Communications with the Public. This role is responsible for reviewing and providing guidance and principal approval of brokerage and advisory communications in compliance with FINRA, SEC and state securities and insurance laws, rules and regulations. Qualifications - Bachelor’s degree in finance, accounting or business-related field; or relevant securities industry experience. - Applicable industry exams: FINRA SIE, Series 7, Series 9/10 or 24, and Series 66 or 63/65. If not licensed, must obtain within 120 days. - Solid knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public, including social media. - Prior experience reviewing and approving broker/dealer and investment advisory communications preferred. - Strong written, oral and human relations skills. - Ability to independently, reasonably, and consistently apply Communication with the Public rules in a supportive marketing environment. - Ability to assess overall risk and propose creative solutions based on current regulatory requirements. - High understanding of various software and capabilities, including Word, PowerPoint, Excel, and Outlook. - Strong organizational skills and attention to detail. - Team player who projects a professional and personable manner at all times. - Occasional opportunity to travel to educational conferences. - Ability to adapt to change and exhibit sound judgment. - Ability to maintain regular, predictable attendance. - Must have good time-management skills and be a self-starter. Requirements - Serve as a supervisory principal for the timely and accurate review and approval of traditional and electronic marketing, advertising and other business communications. - Work with Financial Professionals, branch staff, and Marketing on constructive revisions to meet applicable regulatory standards. - Serve as a supervisory subject matter expert for various social media communications mediums including, but not limited to, Facebook, LinkedIn, etc. - Serve as a resource for the Regional Directors, Regional Supervisory Principals and Branch Office Managers with respect to Communications with the Public. - Assist in development of training and processes related to Communications with the Public as identified through various supervisory reviews or regulatory updates. - Stay current on industry and regulatory updates and trends that affect how materials may be presented. Benefits - 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.