Junior Compliance Analyst – Finance Focus

D.A. Davidson; Great Falls (MT); On-site; USD 29,000 - 43,000; Full time

Benefits offered by this job

Medical, Dental and Vision

Company 401(k) and ESOP

Generous leave

Paid holidays

Professional Development Opportunities

Tuition Reimbursement

Discounted insurance

Charitable gift-matching

Community giving

Job summary

D.A. Davidson is seeking a Compliance Associate to support the day-to-day compliance program, AML efforts, and branch examinations. You will assist with disclosures, customer concerns, and various ongoing projects in a dynamic financial services environment.

The role emphasizes strong communication, attention to detail, and the ability to work with senior leaders and external auditors while exploring future licensure and growth within the Compliance Department.

Qualifications

• Bachelor's degree in business, finance, or related field or relevant professional experience.
• Basic knowledge of financial markets and investment products.
• Willingness to obtain the SIE within 6 months of hire.
• Professional demeanor at all times.
• Proficient with Microsoft Office; other tech skills preferred.
• Strong written, oral, and interpersonal communication.
• Willingness to travel up to 10%.
• Ability to communicate Firm policies and regulations clearly.
• Detail-oriented with strong organizational skills.

Responsibilities

• Support the compliance program day-to-day and branch examination duties.
• Assist AML program tasks and provide general support to staff.
• Support disclosures, customer complaints, and related projects as assigned.
• Collect data for examinations and analyze for irregularities and trends.
• Accompany compliance examinations as needed to evaluate adherence to policies.
• Assist with OBAs, PSTs, OIAs, and political contributions certifications.
• Monitor and respond to inquiries in the Compliance Department inbox.

Skills

Professional demeanor

Microsoft Office

Written & verbal communication

Interpersonal skills

Travel ability

Education

Bachelor's degree in business or finance

Tools

Comply software

Job description

D.A. Davidson is seeking a Compliance Associate to support the day-to-day compliance program, AML efforts, and branch examinations. You will assist with disclosures, customer concerns, and various ongoing projects in a dynamic financial services environment.

The role emphasizes strong communication, attention to detail, and the ability to work with senior leaders and external auditors while exploring future licensure and growth within the Compliance Department.