Wealth Management Compliance Examiner

Make Choteau Home; Great Falls (MT); On-site; USD 54,000 - 80,000; Full time

Benefits offered by this job

Medical, Dental, Vision

Company 401(k) and ESOP

Generous leave

Holidays

Professional development

Tuition reimbursement

Insurance discounts

Charitable gift-matching

Community giving

Job summary

D.A. Davidson Companies seeks a Wealth Management Compliance Examiner to perform onsite and virtual examinations of WM branch offices, serving as a key compliance contact and enforcing industry rules and internal standards.

The role requires travel and strong collaboration with senior leaders and external auditors. The position emphasizes data collection, analysis, and communication of findings, with responsibilities spanning annual reviews, project work, and guidance to branches and supervision

Qualifications

• FINRA SIE, Series 7, Series 65/66, and Series 9/10 or Series 24 licensing required; 6 months window to obtain licensing if not held.
• Bachelor’s degree in business, finance or related field; 2+ years compliance experience; 5+ years industry experience preferred.
• Knowledge of investment concepts, regulations (FINRA, SEC, MSRB) and state rules.
• Experience with surveillance oversight of supervisory processes is a plus.
• Ability to convey interpretive compliance guidance with senior leaders and external partners.
• Strong written, oral and interpersonal skills for engagement with leaders, auditors and clients.
• Ability to prioritize and meet regulatory deadlines; strong planning skills.
• Proficiency with Outlook, Word and Excel; adaptability to digital environments.
• Professional demeanor in all interactions.
• Willingness to travel 35% of time.

Responsibilities

• Schedule branch examinations and manage travel expenses.
• Collect data per examination program and analyze for irregularities and trends.
• Conduct onsite/virtual examinations for policy and regulatory compliance.
• Draft inspection communications to branch principals and partners.
• Assist with review of restricted trade violations, disclosures and certifications.
• Escalate identified issues to internal stakeholders and management.
• Assist investigations of complaints, arbitrations and regulatory inquiries.
• Collaborate with leaders to address compliance and supervision issues.
• Recommend process improvements to enhance efficiency and control.
• Maintain firm books and records related to assigned responsibilities.

Skills

FINRA licensure knowledge

Bachelor's degree in business/finance

Compliance experience

Surveillance oversight

Strong communication

Critical thinking

Time management

Digital productivity tools

Professional demeanor

Travel willingness (35%)

Education

Bachelor's degree in business/finance

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Job description

D.A. Davidson Companies seeks a Wealth Management Compliance Examiner to perform onsite and virtual examinations of WM branch offices, serving as a key compliance contact and enforcing industry rules and internal standards.

The role requires travel and strong collaboration with senior leaders and external auditors. The position emphasizes data collection, analysis, and communication of findings, with responsibilities spanning annual reviews, project work, and guidance to branches and supervision