Compliance Manager– 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 Compliance Manager will be responsible for executing and managing The Planning Center’s compliance program. The Compliance Manager will also help maintain and update all policies, procedures and workflows associated with the compliance program. In addition, the Compliance Manager will take the lead role on educating employees on policies and procedures and ensuring that all acknowledgements and training sessions are completed. The Compliance Manager will report directly to the Chief Compliance Officer and may be asked to attend management team meetings and/or report as needed to the Board of Directors.
Your responsibilities will include:
- Manage and execute the firm’s annual compliance program.
- Maintain, manage, and update our policies and procedural manuals.
- Educate and train employees on policies and procedures.
- Coordinate and manage Compliance & Risk Committee meetings, including agenda, preparation, and task management.
- Manage compliance processes and systems, including coordinating with both internal and external resources to improve systems.
- Help conduct internal audits and reviews, manage any mock audits undertaken, help manage any external exams.
- Communicate risks to Chief Compliance Officer and/or management team.
- Participate in interactions with our legal counsel and with regulators on compliance-related matters.
- Independently investigate and act on matters related to compliance.
- Bachelor’s degree required.
- 5+ years of experience in a compliance role or similar auditing function.
- Interest in participating in industry organizations, such as NSCP.
- Achievement or willingness to achieve IACCP or similar compliance certification.
- Knowledgeable concerning the Investment Advisers Act of 1940 and related regulation.
- Basic knowledge of 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.
- Ability to identify non-conformance with policies and the courage to alert the Chief Compliance Officer and/or Board of Directors, if necessary.
If you would like to apply, please email your resume to firstname.lastname@example.org.