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STOCKMAN WEALTH MANAGEMENT CHIEF COMPLIANCE OFFICER

Stockman Bank of Montana

Bozeman, MTFull-timePosted 3mo agoSeen in employer's feed 4 days ago

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At a glance

Compensation
No compensation found
Location
Bozeman, MT
Schedule
Full-time
Work Authorization
Not specified

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Requirements

Credentials this posting asks for.

IACCP DesignationBachelor's degree

Job overview

Stockman Bank of Montana is hiring a STOCKMAN WEALTH MANAGEMENT CHIEF COMPLIANCE OFFICER. The Chief Compliance Officer administers and monitors the firm's compliance program as an SEC Registered Investment Adviser requirement. This role fosters a highly ethical culture of compliance with a client-first approach and represents Stockman Wealth Management in community activities as agreed and approved by the Manager. Travel with potential overnight stays is possible.

Key focus areas include Administer the firm's compliance program as an SEC Registered Investment Adviser requirement, Monitor the firm's compliance program as an SEC Registered Investment Adviser requirement, and Foster a highly ethical culture of compliance with a "client first" approach.

Successful candidates bring Four-Year College Degree, 5+ Years RIA Compliance Experience, and Strong Commitment to Customer Service. Important skills include Administering Compliance Program, Monitoring Compliance Program, Ethical Culture Of Compliance, Client First Approach, Exceptional Customer Service, and Microsoft Word.

Skills & qualifications

RequiredNice to have

Skills

Administering Compliance ProgramMonitoring Compliance ProgramEthical Culture of ComplianceClient First ApproachExceptional Customer ServiceMicrosoft WordExcelAccessConcise Verbal CommunicationConcise Written CommunicationAction OrientationApplied Learning AbilityStrong Communication SkillsCreative Problem-Solving AbilityStrong Interpersonal SkillsProfessionalismInvestment Activities KnowledgeInvestment Policies KnowledgeRetirement Planning403(B)401(K)Pension Plans

Qualifications

Four-Year College Level Course Study/Degree5 Years Registered Investment Adviser (RIA) Compliance ExperienceIACCP Designation

Benefits

401(k) Match

Full job description

Officer Full-Time

1.2 SENIOR LEADER

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Position General Responsibilities:

Incumbent is responsible for administering and monitoring the firm's compliance program as an SEC Registered Investment Adviser requirement. Must foster a highly ethical culture of compliance with "client first" approach. Will represent Stockman Wealth Management in community activities as agreed and approved by Manager.

Minimum Qualifications:

  • Strong commitment to providing exceptional customer service.

  • Four-year college level course study/degree.

  • Minimum of five years previous Registered Investment Adviser (RIA) Compliance experience.

  • IACCP designation preferred.

  • 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.

Specific Skills Requirements:

  • Action Orientation – taking initiative to achieve desired results rather than passively waiting for direction.

  • Applied Learning Ability – understanding new information and complex ideas quickly and without confusion.

  • Strong Communication Skills (written and verbal) – ability to disseminate complex information in an easily-understandable format to an audience of varied knowledge level.

  • Creative Problem-Solving Ability – looking for solutions to achieve desired results.

  • Strong Interpersonal Skills – with ability to interact effectively with all levels of management.

  • Professionalism – maintaining a professional attitude, image, and work ethic.

NOTE: Travel is possible with this position and could include overnight stays.

Dimension of Job:

This position requires a thorough knowledge of investment activities and policies.

For full description, which includes physical mental demands please see attachment.

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