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Travel‑Ready Wealth Compliance Examiner
Job in
Great Falls, Cascade County, Montana, 59404, USA
Listed on 2026-08-03
Listing for:
Socket.dev
Full Time
position Listed on 2026-08-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
D.A. Davidson Companies is seeking a Wealth Management Compliance Examiner to conduct onsite and virtual examinations of branch offices, ensuring adherence to FINRA/SEC/MSRB rules. The role supports senior leadership and partners with external auditors and clients.
The ideal candidate will have FINRA licenses, relevant compliance experience, and the ability to provide interpretive guidance. Travel about 35% is required as part of regulatory examinations.
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