Chief Compliance Officer – Moline, IL
Who We Are
The Planning Center is a fee-only financial planning firm that provides a safe place for their clients to discuss what matters most to them and their family. Our goal is to help people make better decisions as they navigate life’s transitions and guide them toward the life they want. We have six locations within the U.S. and are continuing to expand our office and client footprint. As a mid-size privately owned company, we value diverse perspectives, entrepreneurial thinking, and above all, a commitment to always act in our client’s best interests.
The Chief Compliance Officer (“CCO”) will be responsible for The Planning Center’s adherence to all laws, regulations, and requirements set forth by the Securities and Exchange Commission, or any other regulator under whose jurisdiction we may fall. The CCO will oversee our annual compliance program including developing and maintaining the standards, policies, and procedures necessary for said adherence. The CCO will serve on the management team, report directly to the CEO, and may report to the Board of Directors, when necessary.
Your responsibilities will include:
- Develop, maintain, oversee, and monitor the annual compliance program.
- Review and revise, as necessary, our policies and procedural manuals.
- Guide and develop a compliance training program for employees.
- Interact with our legal counsel and with regulators on compliance-related matters.
- Coordinate annual reviews, audits, and examinations, if any.
- Participate as a member of the management team, including attending weekly meetings, and helping inform decision making based on knowledge of the regulatory system.
- Lead and manage our Compliance & Risk Committee. Attend as necessary our Investment and Technology Committees.
- Independently investigate and act on matters related to compliance.
- Bachelor’s degree required.
- Masters or Law degree preferred.
- 10+ years of experience as a compliance officer or in running compliance programs in a financial services firm.
- Attainment of, or willingness to attain, the appropriate SEC series designations or professional certifications.
- Competent and knowledgeable concerning the Investment Advisers Act of 1940 and related regulation.
- Competent and knowledgeable in the CFP Board of Standards practices, standards, and code of ethics.
- Strong analytical skills with the ability to comprehend complex legal language.
- Excellent organizational skills and attention to detail.
- The courage and integrity to alert senior management, and/or the Board of Directors, if red flags arise.
If you would like to apply, please email your resume to firstname.lastname@example.org.