Compliance Officer

COMPLIANCE OFFICER Location: Richmond, VA Department: Compliance OVERVIEW Davenport is seeking a Compliance Officer to join its growing team of experienced and dedicated professionals.
The Compliance Officer – Branch Examinations is responsible for managing and implementing all functions of the Firm’s retail branch examination program including evaluation of branch activities to monitor compliance with Firm policies and procedures, as well as, applicable federal and state laws.
In addition, the Officer will assist with the Firm’s Risk and Internal Controls program.
As part of the Compliance Department, the Officer will work with all levels of associates in providing compliance advice, oversight, and support regarding broker dealer services.
RESPONSIBILITIES Responsibilities of this position include, but are not limited to: Draft, implement, update and oversee the Firm’s retail branch examination program Lead the Firm’s retail branch examination team Travel to the Firm’s retail branch offices and perform required branch inspections Conduct consultations with branch managers, central supervision and financial advisors during the branch examination process Prepare exam reports identifying deficiencies identified in branch examinations and any required corrective actions Assist with departmental Written Supervisory Process review and updates Participate in the review and interpretation of new and pending regulations that potentially impact business practices Assist with internal control reviews under the supervision of the Compliance Risk Manager Perform other compliance projects/duties as needed QUALIFICATIONS Davenport seeks a highly motivated and capable professional with a demonstrated history of excellence.
Successful candidates will present: 2-4 years Compliance, Supervision, Risk or Audit experience with a mid-size or large size broker-dealer or investment advisor Strong analytical and probative skills, as well as, strong judgement skills and a conscientious work ethic Excellent communication skills, both written and verbal Series 7, 65/66, and 24 licenses highly desired Must be a self-starter and have the ability to work independently when necessary Must possess the ability to adapt to changing business and regulatory environments Computer competence in Word and Excel 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.