Chief Compliance Officer

Plancorp - Saint Louis, MO

Full-time - Senior

Saint Louis, MO

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Plancorp is seeking a Chief Compliance Officer who will lead all components of the compliance program. The CCO will be responsible for designing, implementing, evolving and monitoring the firm's compliance program. This role ensures that all activities of the firm meet regulatory requirements and acts as a liaison with legal and regulatory bodies on compliance-related issues. The CCO must be able to stay up to date with the evolving demands of regulatory compliance while aligning with company strategic initiatives.

Responsibilities

• Drive a culture of compliance across the Company.
• Adopt a solution-focused approach, emphasizing how to achieve business objectives within legal and regulatory requirements.
• Engage with and advise senior management and staff on all issues concerning U.S. compliance rules, regulations, and procedures.
• Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures.
• Constantly assess firm risks and define priorities to mitigate these risks then report progress to the Leadership Team and periodically update the Board.
• Identify, mitigate, and disclose conflicts of interest within the firm to maintain Plancorp's belief in transparency.
• Manage Securities and Exchange Commission (SEC) exams when they occur including responding to the SEC request, coordinating interviews, and replying to action items from the SEC.
• Timely Approval of client and marketing (print, digital and social media) communications prior to releasing to the public to make sure the documents and information are not misleading and uphold Plancorp's fiduciary standards.
• Train new employees and provide information, updates, and ongoing firmwide compliance training.
• Oversee the preparation and ongoing maintenance of all applicable regulatory registrations and filings (e.g. filing of Form ADV, etc.).
• Review and update Plancorp's client agreements.
• Lead the annual custody audit.
• Manage communication and relationship with compliance vendors.
• Maintain a thorough understanding of state and federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups.

Requirements

• Bachelor's Degree, J.D strongly preferred.
• Five years+ serving in a compliance role for a Registered Investment Advisor (RIA).
• Strong working knowledge of the Investment Company Act of 1940.
• Knowledge and ability to compel others to adhere to a strong culture of compliance.
• Strong leadership and problem-solving skills.
• Must possess excellent verbal and written communications skills sufficient to interact with all levels of firm, clients, vendors, etc.
• An understanding of the fundamentals of investing, including the characteristics and use of various investment securities, and the different types of investment accounts.
• Respect for the confidentiality of client and corporate information.
• Integrating activities with other departments to accomplish common goals.

Nice-to-haves

• Bonus points for Series 65 OR CFP designation.

Benefits

• 12 paid holidays
• Comprehensive rewards package
• Daily catered lunch
• Free access to a workout facility
• Encouragement for people from underrepresented communities to apply.