Wealth Compliance & Risk Officer

Stockman-Bank-of-Montan; Billings (MT); On-site; USD 70,000 - 90,000; Full time

Job summary

Stockman Wealth Management in Billings, MT is seeking a Compliance Officer to support SWM's regulatory program and align operations with SEC and federal requirements. You will execute, monitor, document and report recurring compliance activities, and work closely with the Chief Compliance Officer and Chief Operating Officer on examinations and policy updates.

Strong communication, attention to detail, and wealth-management experience are valued; travel may be involved.

Qualifications

• 3–5 years of compliance, operations, audit, risk management, banking, brokerage, trust or wealth management experience preferred.
• Strong knowledge of federal regulations and compliance requirements applicable to investment advisory and wealth management.
• Compliance certifications (IACCP, CRCM or similar) preferred but not required.
• Excellent verbal and written communication and ability to present complex information clearly.
• Experience with retirement planning disclosures and related accounts is advantageous.

Responsibilities

• Maintain knowledge of SWM's policies, procedures, and Code of Ethics.
• Assist in administering and monitoring the compliance program and regulatory deadlines.
• Prepare materials for regulatory examinations and audits; update policies and disclosures.
• Support vendor due diligence, risk assessments, and incident response.
• Review marketing materials, reports, and branch office activities; handle inquiries and complaints.

Skills

Customer service

Compliance experience

Certifications

MS Office

Concise communication

Attention to detail

Travel readiness

Tools

MS Office

Job description

Stockman Wealth Management in Billings, MT is seeking a Compliance Officer to support SWM's regulatory program and align operations with SEC and federal requirements. You will execute, monitor, document and report recurring compliance activities, and work closely with the Chief Compliance Officer and Chief Operating Officer on examinations and policy updates.

Strong communication, attention to detail, and wealth-management experience are valued; travel may be involved.