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. This role is eligible to participate in applicable D.A. Davidson variable compensation programs.
Skills Required
- Bachelor's degree in Finance, Economics or a related field
- Advanced degree in Finance, Economics or Risk Management
- FINRA SIE and Series 99 or ability to obtain within 120 days
- Minimum of five years experience in financial risk management and capital markets
- Experience implementing oversight activities to manage risk exposures
- Strong knowledge of the risk control self-assessment process
- Experience with Bloomberg terminal and reporting tools
- Proven ability to compute statistical calculations such as VaR and DV01
- Strong problem-solving skills
- Strong communication and interpersonal skills
- In depth understanding of regulatory requirements for risk management
D.A. Davidson Companies Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about D.A. Davidson Companies and has not been reviewed or approved by D.A. Davidson Companies.
-
Equity Value & Accessibility — Employee ownership through an ESOP is positioned as a core part of total rewards, complementing cash compensation. Ownership is framed as adding long‑term value alongside other benefits.
-
Retirement Support — 401(k) options and company contributions via profit‑sharing are highlighted as part of the package. Early eligibility and combined ESOP/401(k) design can materially boost long‑term retirement savings when the firm performs well.
-
Parental & Family Support — Paid parental, adoption, and surrogacy leave are explicitly offered. Broader paid time off and holidays are emphasized in role materials.
D.A. Davidson Companies Insights
What We Do
At D.A. Davidson Companies, we identify and evaluate market trends, investment ideas and business opportunities, and turn them into actionable insights and strategies. Founded in 1935 as a small brokerage firm, D.A. Davidson has grown into a diversified financial services company comprised of seven distinct business units across the U.S. Through the years, our most important service has remained consistent: a personalized approach that reflects the individuality of each of our clients. As part of an employee-owned company, each of our associates has a unique perspective of success. We believe in doing what is right for our clients and are empowered to deliver high-impact solutions. We are with our clients every step of the way—leveraging our nationally-recognized research, capital markets and investment banking expertise, and a robust network of financial advisors. Clients not only benefit from our expansive platform of solutions and services, but also from strong values rooted in tradition and a deep sense of responsibility to our communities.
