Junior Compliance Associate, Financial Services

D.A. Davidson Companies; Great Falls (MT); On-site; USD 60,044,000 - 90,059,000; Full time

Benefits offered by this job

Medical benefits

401(k) & ESOP

Holidays

Professional development

Tuition reimbursement

Gift matching

Community giving

Job summary

D.A. Davidson Companies is seeking a Compliance Associate to support the firm's day-to-day compliance program duties, including the branch examination program and AML initiatives, assisting wealth management and capital markets teams.

The role emphasizes accuracy, communication with senior leaders and regulators, and the ability to work in a digitized environment leveraging Microsoft Office. Travel up to 10% is expected; prior financial services exposure is helpful.

Qualifications

• Bachelor’s degree in business, finance, or related field, or relevant experience in financial services.

Responsibilities

• Support day-to-day compliance program duties including branch examination and AML program.
• Provide general support to branch associates and supervision partners including wealth management and capital markets.
• Assist with associate disclosures (OBAs, PSTs, OIAs) and customer complaints, and other assigned projects.
• Collect and analyze data to identify irregularities, trends, and patterns.
• Assist Examiners during on-site/virtual examinations to evaluate compliance with Firm policies.
• Assist with administration of disclosures and certifications in Comply.
• Assist AML Officer with transaction monitoring.
• Monitor customer complaints and respond to inquiries.
• Additional duties as assigned.

Skills

Professional demeanor

Interpersonal skills

Microsoft Office

Communication skills

Travel up to 10%

Attention to detail

Continuous learning

Education

Bachelor’s degree in business/finance

Tools

Comply software

Job description

D.A. Davidson Companies is seeking a Compliance Associate to support the firm's day-to-day compliance program duties, including the branch examination program and AML initiatives, assisting wealth management and capital markets teams.

The role emphasizes accuracy, communication with senior leaders and regulators, and the ability to work in a digitized environment leveraging Microsoft Office. Travel up to 10% is expected; prior financial services exposure is helpful.