Senior Compliance Officer, Investment Advisory (RIA)

Stockman Bank; Bozeman (MT); On-site; USD 140,000 - 190,000; Full time

Job summary

Stockman Wealth Management seeks a Chief Compliance Officer to lead the firm's compliance program for an SEC-registered investment adviser. The role requires safeguarding client interests with a strong ethical framework and coordinating with management on compliance standards.

The incumbent will oversee regulatory adherence, guide governance, and engage with community activities as approved by leadership, ensuring rigorous risk management and transparent reporting.

Qualifications

• Minimum of five years previous Registered Investment Adviser (RIA) Compliance experience.
• Strong commitment to providing exceptional customer service.
• Working knowledge of Word, Excel, Access or related software.
• Demonstrated ability to provide information in concise verbal and written formats is essential for job success.
• Experience in retirement planning (403(b), 401(k), Pension Plans) is advantageous.

Responsibilities

• Administer and monitor the firm's compliance program.
• Represent Stockman Wealth Management in community activities as approved by Manager.

Skills

Action Orientation

Applied Learning Ability

Strong Communication Skills

Creative Problem-Solving

Strong Interpersonal Skills

Professionalism

Tools

Word

Excel

Access

Job description

Stockman Wealth Management seeks a Chief Compliance Officer to lead the firm's compliance program for an SEC-registered investment adviser. The role requires safeguarding client interests with a strong ethical framework and coordinating with management on compliance standards.

The incumbent will oversee regulatory adherence, guide governance, and engage with community activities as approved by leadership, ensuring rigorous risk management and transparent reporting.