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:
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Strong commitment to providing exceptional customer service.
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Four-year college level course study/degree.
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Minimum of five years previous Registered Investment Adviser (RIA) Compliance experience.
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IACCP designation preferred.
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Working knowledge of Word, Excel, Access or related software.
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Demonstrated ability to provide information in concise verbal and written formats is essential for job success.
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Experience in retirement planning (403(b), 401(k), Pension Plans) is advantageous.
Specific Skills Requirements:
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Action Orientation – taking initiative to achieve desired results rather than passively waiting for direction.
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Applied Learning Ability – understanding new information and complex ideas quickly and without confusion.
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Strong Communication Skills (written and verbal) – ability to disseminate complex information in an easily-understandable format to an audience of varied knowledge level.
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Creative Problem-Solving Ability – looking for solutions to achieve desired results.
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Strong Interpersonal Skills – with ability to interact effectively with all levels of management.
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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.
