Compliance Examiner - Great Falls

Make Choteau Home; Great Falls (MT); On-site; USD 54,000 - 80,000; Full time

Benefits offered by this job

Medical, Dental, Vision

Company 401(k) and ESOP

Generous leave

Holidays

Professional development

Tuition reimbursement

Insurance discounts

Charitable gift-matching

Community giving

Job summary

D.A. Davidson Companies seeks a Wealth Management Compliance Examiner to perform onsite and virtual examinations of WM branch offices, serving as a key compliance contact and enforcing industry rules and internal standards.

The role requires travel and strong collaboration with senior leaders and external auditors. The position emphasizes data collection, analysis, and communication of findings, with responsibilities spanning annual reviews, project work, and guidance to branches and supervision

Qualifications

• FINRA SIE, Series 7, Series 65/66, and Series 9/10 or Series 24 licensing required; 6 months window to obtain licensing if not held.
• Bachelor’s degree in business, finance or related field; 2+ years compliance experience; 5+ years industry experience preferred.
• Knowledge of investment concepts, regulations (FINRA, SEC, MSRB) and state rules.
• Experience with surveillance oversight of supervisory processes is a plus.
• Ability to convey interpretive compliance guidance with senior leaders and external partners.
• Strong written, oral and interpersonal skills for engagement with leaders, auditors and clients.
• Ability to prioritize and meet regulatory deadlines; strong planning skills.
• Proficiency with Outlook, Word and Excel; adaptability to digital environments.
• Professional demeanor in all interactions.
• Willingness to travel 35% of time.

Responsibilities

• Schedule branch examinations and manage travel expenses.
• Collect data per examination program and analyze for irregularities and trends.
• Conduct onsite/virtual examinations for policy and regulatory compliance.
• Draft inspection communications to branch principals and partners.
• Assist with review of restricted trade violations, disclosures and certifications.
• Escalate identified issues to internal stakeholders and management.
• Assist investigations of complaints, arbitrations and regulatory inquiries.
• Collaborate with leaders to address compliance and supervision issues.
• Recommend process improvements to enhance efficiency and control.
• Maintain firm books and records related to assigned responsibilities.

Skills

FINRA licensure knowledge

Bachelor's degree in business/finance

Compliance experience

Surveillance oversight

Strong communication

Critical thinking

Time management

Digital productivity tools

Professional demeanor

Travel willingness (35%)

Education

Bachelor's degree in business/finance

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Job description

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.

Summary/Function:

D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments. The firm has operations across the United States.

The Wealth Management (WM) Compliance Examiner conducts onsite and virtual examinations of D.A. Davidson WM branch offices, acts as an ongoing compliance contact for branch offices, and supports adherence with industry rules and regulations.

Qualifications:

• FINRA SIE, Series 7, Series 65 or 66, and Series 9 and 10 or Series 24 licensing required. May consider candidates without required principal licensure (i.e., 9/10 or 24) provided they are able and willing to obtain within 6 months of starting the position.
• Bachelor’s degree in business, finance or complimentary field, or relevant securities industry experience. Two or more years of compliance experience and five years of industry experience preferred.
• Basic knowledge of investment concepts, practices, laws, and regulations; includes FINRA, SEC, MSRB and state/jurisdiction rules and regulations related to securities and investment advisory compliance.
• Experience conducting surveillance oversight of Firm supervisory processes desired.
• Strong written, oral, and interpersonal skills necessary to engage with senior leaders, industry examiners, outside auditors, clients, law firms, other financial institutions, and branch associates.
• Ability to provide interpretive compliance guidance and advice, utilizing critical thinking independent judgement in moderate to complex situations.
• Ability to prioritize, plan, and meet Firm and regulatory deadlines.
• Ability to work in a digital environment; proficient with Microsoft Outlook, Word, and Excel. Advanced technology skills desired and welcomed.
• Exhibits a professional and personable demeanor always.
• Ability and willingness to commit over 35% of time to travel.

KEY RESPONSIBILITIES:

The WM Compliance Examiner is responsible for performing specific duties in support of the compliance program functions and initiatives which include responsibilities related to the day‑to‑day compliance program duties, annual compliance reviews, assigned projects, and providing compliance guidance and support to branches and internal business and supervision partners as needed.

Duties:

• Schedules branch examinations and manage related travel expenses.
• Performs data collection in accordance with examination program requirements and analyzes collected data to identify irregularities, trends, and patterns.
• Conducts onsite/virtual examinations to evaluate compliance with Firm policies, WSPs, and industry regulations.
• Drafts and distributes inspection related communications to branch principals and internal business and supervision partners.
• As needed, assists with review of potential restricted trade violations; disclosure of OBAs, PSTs, and political contributions; and semiannual and annual certifications in Comply.
• Alerts internal stakeholders of identified issues and escalates items, as appropriate.
• Assists in the investigation, review and follow-up for customer complaints, arbitrations, regulatory investigations, and inquiries as applicable for branch offices.
• Participates in addressing sensitive compliance or supervision issues with internal leaders in assigned functional areas.
• Recommends process improvements to enhance the effectiveness and efficiency of branch‑related and Firm‑level processes.
• Maintains required Firm books and records relating to areas of assigned responsibilities.
• Additional duties and responsibilities as identified, needed, and 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 $54,486 to $80,000 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.

$54,486 - $80,000 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.