Wealth Management Compliance Lead

Stockman Bank Of Montana; Billings (MT); On-site; USD 70,000 - 100,000; Full time

Job summary

Stockman Wealth Management seeks a Compliance Officer to support the firm’s compliance program and regulatory adherence. The role executes, monitors, documents, and reports recurring compliance activities, working closely with the Chief Compliance Officer, Chief Operating Officer, and Operations Team.

Ideal candidates bring 2–5+ years in compliance or related fields, working knowledge of the Securities Acts and Bank Secrecy Act, and comfort with audit-driven environments. Travel may be required.

Qualifications

• Strong commitment to providing exceptional customer service.
• Two to five years of compliance, operations, audit, risk management, banking, brokerage, trust, or wealth management experience preferred.
• Compliance certification (IACCP, CRCM or similar) preferred but not required.
• 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

• Maintain a working knowledge of SWM's written Policies and Procedures and Code of Ethics.
• Strong knowledge of the Investment Advisers Act of 1940.
• Maintain a working knowledge of federal regulations that apply to and concern this position's area of responsibility, including the Securities Act of 1933, Securities Exchange Act of 1934, the Bank Secrecy Act, OFAC, USA Patriot Act and various other Federal and State regulations as they apply.
• Assist the Chief Compliance Officer in administering and monitoring the firm's compliance program.
• Maintain compliance calendars and monitor periodic regulatory deadlines.
• Perform recurring compliance reviews and document results.
• Maintain compliance records, logs, and supporting documentation.
• Assist in preparing materials for regulatory examinations and audits.
• Assist in updating compliance policies, procedures, disclosures, and regulatory filings.
• Monitor completion of required employee attestations and compliance training.
• Escalate compliance concerns, exceptions, or deficiencies to the Chief Compliance Officer.
• Assist in tracking corrective actions and remediation efforts.
• Prepare monthly, quarterly, and annual compliance reports.
• Work closely with the Chief Operating Officer and Operations Team to ensure operating procedures align with regulatory requirements.
• Participate in reviews of operational controls and processes.
• Assist with vendor due diligence and monitoring.
• Support cybersecurity, business continuity, and disaster recovery reviews.
• Assist with operational risk assessments.
• Help identify workflow improvements that enhance efficiency and mitigate regulatory risk.
• Participate in projects involving operational and compliance process enhancements.
• Update and maintain our regulatory files, reporting and disclosure documents.
• Update and maintain all advisory agreements, including the financial planning engagement letter and the ERISA plan agreements.
• Various account and transaction reviews.
• Complete pricing and fee reviews.
• Risk assessments, including cybersecurity and disaster recovery incidents.
• Trading practices and investment objective reviews, including restricted and watch lists.
• Vendor and third-party due diligence.
• Books and records, email and correspondence reviews.
• Review and approve all marketing materials, including brochures, commercials, social media, website and RFPs.
• Ongoing branch office reviews.
• Review and respond to complaints.
• Review conflicts of interest, outside business activities, personal securities, political contributions, gifting, and expenses periodically.

Skills

Action Orientation

Applied Learning

Strong Communication

Creative Problem-Solving

Interpersonal Skills

Professionalism

Tools

Word

Excel

Access

Job description

Stockman Wealth Management seeks a Compliance Officer to support the firm’s compliance program and regulatory adherence. The role executes, monitors, documents, and reports recurring compliance activities, working closely with the Chief Compliance Officer, Chief Operating Officer, and Operations Team.

Ideal candidates bring 2–5+ years in compliance or related fields, working knowledge of the Securities Acts and Bank Secrecy Act, and comfort with audit-driven environments. Travel may be required.