Impactful Wealth Compliance & Risk Specialist

Stockman Bank; Billings (MT); On-site; USD 70,000 - 110,000; Full time

Job summary

Stockman Wealth Management in Billings, MT, is seeking a Compliance Officer to support the firm’s regulatory program and oversee recurring compliance activities. You will work closely with the Chief Compliance Officer and Operations Team to ensure adherence to federal and state regulations while maintaining documentation and reporting processes.

The role involves maintaining policies, conducting reviews, and facilitating examinations, with opportunities to contribute to risk management, vendor

Qualifications

• 1. Strong commitment to providing exceptional customer service.
• 3. Two to five years of compliance, operations, audit, risk management, banking, brokerage, trust, or wealth management experience preferred.
• 4. Compliance certification (IACCP, CRCM or similar) preferred but not required.
• 5. Working knowledge of Word, Excel, Access or related software.
• 6. Demonstrated ability to provide information in concise verbal and written formats is essential for job success.
• 7. Experience in retirement planning (403(b), 401(k), Pension Plans) is advantageous.

Responsibilities

• Maintain a working knowledge of SWM's written Policies and Procedures and Code of Ethics.
• Assist the Chief Compliance Officer in administering and monitoring the firm's compliance program.
• Prepare monthly, quarterly, and annual compliance reports.
• Support risk management initiatives and vendor due diligence.
• Review marketing materials and branch office reviews.
• Promote SWM through quality customer service and professional conduct.

Skills

Customer service

Compliance experience

Regulatory knowledge

MS Office

Action Orientation

Applied Learning

Strong Communication

Creative Problem-Solving

Interpersonal Skills

Professionalism

Travel readiness

Tools

Word

Excel

Access

Job description

Stockman Wealth Management in Billings, MT, is seeking a Compliance Officer to support the firm’s regulatory program and oversee recurring compliance activities. You will work closely with the Chief Compliance Officer and Operations Team to ensure adherence to federal and state regulations while maintaining documentation and reporting processes.

The role involves maintaining policies, conducting reviews, and facilitating examinations, with opportunities to contribute to risk management, vendor