Wealth Management Compliance Examiner—Travel‑Ready
Job in
Minneapolis, Hennepin County, Minnesota, 55400, USA
Listed on 2026-08-03
Listing for:
D.A. Davidson Companies
Full Time
position Listed on 2026-08-03
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
D.A. Davidson Companies is a leading independent financial services firm with a long history of integrity and client focus.
The Wealth Management Compliance Examiner conducts onsite and virtual examinations of WM branch offices, serves as a compliance contact, and supports adherence to industry rules. The role requires licensing, finance knowledge, and strong communication skills, with travel expected to exceed 35% of the time and a focus on risk controls and regulatory alignment across the
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