Junior Compliance Associate

This is a fully remote position, open to applicants in Montana, +1 more state.

📋 Description

• Assist with the daily operations of the compliance program, which includes overseeing the branch examination initiative and the Anti-Money Laundering (AML) program.

• Offer general assistance to branch team members and internal business and supervision partners, particularly in wealth management and capital markets.

• Support processes related to associate disclosures, handle customer complaints, and contribute to other assigned projects as necessary.

• Gather and analyze data from branch examinations to pinpoint irregularities, trends, and patterns.

• Join Compliance Examiners during onsite or virtual evaluations to assess adherence to Firm policies, WSPs, and industry regulations.

• Aid in managing associate disclosures and the semiannual and annual certifications within Comply.

• Support the AML Compliance Officer with monitoring transactions.

• Help manage customer complaints.

• Oversee, respond to, and redirect inquiries received in the Compliance Department inbox.

⛳️ Requirements

• A Bachelor’s degree in business, finance, or a related discipline, or equivalent professional experience in the financial services sector.

• Fundamental understanding of financial markets and investment products.

• Eagerness and capability to obtain the FINRA Securities Industry Essentials Exam (SIE) within six months of employment.

• Proficient in Microsoft Office applications.

• Excellent written, verbal, and interpersonal communication skills.

• Willingness to travel up to 10% of the time.

• Capability to convey Firm policies and industry regulations effectively.

• High attention to detail and strong organizational abilities.

• Competence in prioritizing tasks, planning, meeting deadlines, and working independently.

• Professional and engaging demeanor.

• Enthusiasm and commitment to learning about the financial services sector.

🏝️ Benefits

• Medical, Dental, and Vision insurance.

• Company contributions to 401(k) and ESOP.

• Ample sick, vacation, and maternity/parental leave.

• Paid holidays.

• Opportunities for professional development.

• Tuition reimbursement with a lifetime cap of $15,000.

• Discounts on personal insurance, including home, auto, and recreational vehicles.

• Charitable gift-matching program.

• Davidson Day of Giving.