Entry-Level Compliance Analyst – Financial Services

Make Choteau Home; Great Falls (MT); On-site; USD 29,000 - 43,000; Full time

Benefits offered by this job

Medical, Dental and Vision

401(k) and ESOP

Sick, vacation, parental leave

Paid holidays

Professional development

Tuition reimbursement

Insurance discounts

Charitable gift-matching

Davidson Day of Giving

Job summary

D.A. Davidson Companies in Montana seeks a Compliance Associate to support the compliance program, AML, and branch examinations. You will help manage disclosures, certifications, and inquiries, while coordinating with wealth management and capital markets teams.

A professional demeanor and strong communication are essential. Ideal candidates have a business/finance background, the willingness to pursue the SIE, and the ability to travel up to 10%.

Qualifications

• Bachelor’s degree in business, finance, or related field or relevant professional experience.
• Basic knowledge of financial markets and investment products and willingness to expand.
• Willingness to obtain the SIE within 6 months of hire date.
• Professional and personable demeanor in all interactions.
• Ability to use MS Office and adapt to a digitized environment.
• Strong communication with senior leaders, auditors, clients, and partners.

Responsibilities

• Support day-to-day compliance program duties including AML and branch examinations.
• Assist negotiations with internal business partners and disclosures processes.
• Support associate disclosures and semiannual/annual certifications in Comply.
• Assist AML officer with transaction monitoring as needed.
• Assist with customer complaints and department inquiries.
• Perform data collection and help identify irregularities and trends.

Skills

Basic knowledge of financial markets

Willingness to obtain SIE

Strong written, oral, interpersonal

Travel up to 10%

Microsoft Office proficiency

Education

Bachelor’s degree in business or finance

Willingness to obtain SIE within 6 months

Tools

Microsoft Office

Job description

D.A. Davidson Companies in Montana seeks a Compliance Associate to support the compliance program, AML, and branch examinations. You will help manage disclosures, certifications, and inquiries, while coordinating with wealth management and capital markets teams.

A professional demeanor and strong communication are essential. Ideal candidates have a business/finance background, the willingness to pursue the SIE, and the ability to travel up to 10%.