Compliance Examiner

D.A. Davidson Companies

Compliance Examiner conducting onsite and virtual examinations for D.A. Davidson's Wealth Management.

Posted 7/28/2026full-timeGreat Falls • Montana • 🇺🇸 United StatesJuniorMid-Level💰 $54,486 - $80,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance evaluation and regulatory adherence within the financial services industry, utilizing strong analytical skills to identify trends and irregularities. Proficient in drafting communications and providing interpretive compliance guidance while maintaining effective stakeholder engagement.

Highest-signal resume keywords

FINRA SIE LicensingSeries 7 LicensingSeries 65 LicensingSeries 66 LicensingCompliance Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data AnalysisRegulatory ComplianceSurveillance OversightInvestment Concepts KnowledgeProcess Improvement

Soft Skills

Strong Written CommunicationInterpersonal SkillsCritical ThinkingJudgment in Complex SituationsProfessional Demeanor

Tools & Technologies

Microsoft OutlookMicrosoft WordMicrosoft Excel

Certifications & Qualifications

Series 9 LicensingSeries 10 LicensingSeries 24 Licensing

Industry Keywords

FINRA RegulationsSEC RegulationsMSRB RegulationsSecurities ComplianceInvestment Advisory Compliance

About the role

Key responsibilities & impact

Schedules branch examinations and manages related travel expenses.
Performs data collection in accordance with examination program requirements and analyzes collected data to identify irregularities, trends, and patterns.
Conducts onsite/virtual examinations to evaluate compliance with Firm policies, WSPs, and industry regulations.
Drafts and distributes inspection related communications to branch principals and internal business and supervision partners.
As needed, assists with review of potential restricted trade violations; disclosure of OBAs, PSTs, and political contributions; and semiannual and annual certifications in Comply.
Alerts internal stakeholders of identified issues and escalates items, as appropriate.
Assists in the investigation, review and follow-up for customer complaints, arbitrations, regulatory investigations, and inquiries as applicable for branch offices.
Participates in addressing sensitive compliance or supervision issues with internal leaders in assigned functional areas.
Recommends process improvements to enhance the effectiveness and efficiency of branch-related and Firm-level processes.
Maintains required Firm books and records relating to areas of assigned responsibilities.
Additional duties and responsibilities as identified, needed, and assigned.

Requirements

What you’ll need

FINRA SIE, Series 7, Series 65 or 66, and Series 9 and 10 or Series 24 licensing required. May consider candidates without required principal licensure (i.e., 9/10 or 24) provided they are able and willing to obtain within 6 months of starting the position.
Bachelor’s degree in business, finance or complimentary field, or relevant securities industry experience. Two or more years of compliance experience and five years of industry experience preferred.
Basic knowledge of investment concepts, practices, laws, and regulations; includes FINRA, SEC, MSRB and state/jurisdiction rules and regulations related to securities and investment advisory compliance.
Experience conducting surveillance oversight of Firm supervisory processes desired.
Strong written, oral, and interpersonal skills necessary to engage with senior leaders, industry examiners, outside auditors, clients, law firms, other financial institutions, and branch associates.
Ability to provide interpretive compliance guidance and advice, utilizing critical thinking independent judgement in moderate to complex situations.
Ability to prioritize, plan, and meet Firm and regulatory deadlines.
Ability to work in a digital environment; proficient with Microsoft Outlook, Word, and Excel. Advanced technology skills desired and welcomed.
Exhibits a professional and personable demeanor always.
Ability and willingness to commit over 35% of time to travel.

Benefits

Comp & perks

Medical, Dental and Vision
Company 401(k)and ESOP contribution
Generous sick, vacation, and maternity/parental leave
Paid holidays
Professional Development Opportunities
Tuition Reimbursement ($15,000 lifetime cap)
Discounted personal insurance including home, auto and recreational vehicles
Charitable gift-matching program
Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.