4 Compliance Officer Jobs in Richmond, VA
Davenport is Hiring a Compliance Officer Near Richmond, VA
- 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
- 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
Job Summary
Full Time
Securities
$95k-123k (estimate)
02/14/2024
05/09/2024
investdavenport.com
GREENSBORO, NC
200 - 500
1863
LEE CHAPMAN
$50M - $200M
Securities
Related Companies
About Davenport
Established in 1863, Davenport & Company LLC is one of the oldest employee-owned, independent financial services firms in America. Headquartered in Richmond, VA, our firm offers a complete range of investment services, including comprehensive stock and bond brokerage, investment management, research, financial planning, insurance, public finance, and corporate finance services. Davenport employs over 400 associates and has offices located in Virginia, North Carolina, South Carolina, Maryland and Georgia. Whether youre looking to maintain a lifestyle, finance higher education, plan for retireme...nt or buy or sell a business, we have the people and expertise to help you achieve your goals. Davenport attracts dedicated, talented professionals who are guided by integrity and experience. Here youll find a collaborative environment in which time-tested principles are combined with current analytical tools creating investment strategies suited to your specific needs. Our reputation and continued success will always be based on building personal long-term relationships with our clients. As stewards of your money, we remain committed to helping you grow and preserve your wealth today and for generations to come. Davenport & Company LLC is a member of the New York Stock Exchange, the Financial Industry Regulatory Authority (FINRA), the Securities Investor Protection Corporation (SIPC), and is a Registered Investment Advisor under the Investment Advisers Act of 1940. For more information, call (800) 846-6666 or visit us on the web: www.investdavenport.com
More
Show less
The job skills required for Compliance Officer include Communication Skills, Internal Control, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Officer. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Officer positions, which can be used as a reference in future career path planning. As a Compliance Officer, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Officer. You can explore the career advancement for a Compliance Officer below and select your interested title to get hiring information.
Similar Jobs
Popular Articles
