Director Of Risk Jobs in Seattle, WA (NOW HIRING)

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 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.

About the Role
The Director of Transitions leads the strategy and design of the Financial Advisor transition experience at D.A. Davidson. This role is responsible for building a scalable, compliant, and client-focused transition program that supports experienced advisors joining the firm and ensures a high-quality experience for their clients.

This opportunity is ideal for an experienced FA transitions professional who enjoys shaping programs, setting standards, and partnering across the business to deliver consistent, high-trust outcomes. The Director works closely with a dedicated Transition Manager who leads day-to-day execution, staffing, and advisor planning calls.

What You'll Do
   Set the strategic direction for the firm's advisor transition program, aligning transition practices with business objectives and advisor experience standards.
   Establish and maintain standardized transition policies, procedures, and frameworks that promote consistency and regulatory compliance.
   Partner with Compliance, Legal, Supervision, Operations, Technology, Recruiting, and Advisor Solutions to translate requirements into practical transition standards.
   Serve as a senior subject-matter expert for advisor transitions, providing guidance on complex books of business, unique business models, and high-visibility transitions.
   Design and evolve the transition operating model, tools, disclosures, and documentation to support scale and continuous improvement.
   Identify and implement opportunities to enhance the advisor and client experience through process improvement and thoughtful use of technology.
   Act as a strategic advisor to the Transition Manager, offering direction, mentorship, and escalation support when needed.

What We're Looking For
   FINRA Series 7/66 or 63/65 required; Series 9/10 preferred. 
   Bachelor's degree or equivalent combination of education and relevant industry experience.
   Five or more years experience with Financial Advisor transitions within a wealth management, broker-dealer, or RIA environment.
   Strong understanding of transition-related regulatory and supervisory requirements, including FINRA, SEC, Reg BI, DOL, and client privacy considerations.
   Proven ability to design and manage programs, policies, and standards rather than day-to-day transaction processing.
   Demonstrated success partnering across departments and influencing outcomes without direct authority.
   Executive-level communication skills and comfort interacting with senior leadership and experienced advisors.
   Demonstrated ability to establish credibility and trust with Financial Advisors, branch leaders, and internal partners through sound judgment, clarity, and discretion.
   Strong professional presence and relationship-building capability, particularly in high-stakes, time-sensitive, or emotionally charged transition environments.
   Ability to navigate sensitive conversations with confidence, empathy, and firmness when advisor, client, or firm interests are at risk.
   Calm and steady decision-making style; able to provide reassurance, structure, and direction during periods of uncertainty or change.
   High degree of integrity, emotional intelligence, and professional maturity, especially when serving as an escalation point on matters impacting advisor practices, client relationships, or firm reputation.
   Highly organized, strategic thinker with attention to detail and a strong bias toward protecting the advisor and client experience.
   Ability to travel as needed (approximately 10-15%).

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 $125,000 to $145,000 annually. 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. 

D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets.  We hope you will consider joining us! 

$125,000 - $145,000 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.