What are the responsibilities and job description for the Chief Compliance Officer position at Strategic Planning Group?
Chief Compliance Officer
Strategic Planning Group | Bountiful, Utah
Schedule: Full time, Monday through Friday, 9 AM to 5 PM
Location: In office, Bountiful, Utah
About Strategic Planning Group
Strategic Planning Group is a well-established registered investment advisory firm in Bountiful, Utah. For more than 40 years, we have focused on providing thoughtful financial guidance, investment management, and high-quality service to our clients.
We are seeking an experienced Chief Compliance Officer to lead and oversee the firm's regulatory compliance program.
Position Overview
The Chief Compliance Officer will be responsible for administering and maintaining the firm's compliance program and ensuring compliance with applicable federal and state securities regulations.
This is a hands-on position requiring strong knowledge of RIA compliance, sound judgment, and the ability to work directly with firm leadership, advisors, and staff.
This is not an entry-level compliance position.
Key Responsibilities
- Serve as the firm's Chief Compliance Officer and oversee the compliance program
- Maintain and update the firm's compliance policies and procedures
- Conduct and document the firm's annual compliance review and risk assessment
- Prepare and maintain regulatory filings, including Form ADV and Form CRS
- Administer the firm's Code of Ethics and personal securities reporting
- Review advertising, marketing materials, websites, and client communications for compliance
- Review advisory agreements, disclosures, fees, and potential conflicts of interest
- Conduct ongoing compliance testing and maintain required documentation
- Provide compliance guidance and training to advisors and staff
- Monitor regulatory developments and implement necessary changes
- Coordinate regulatory examinations, audits, and document requests
- Work with outside compliance consultants and legal counsel as needed
Experience and Qualifications
- Five or more years of relevant compliance experience preferred
- RIA compliance experience strongly preferred
- Working knowledge of the Investment Advisers Act of 1940 and regulations applicable to registered investment advisers
- Experience with Form ADV, Form CRS, compliance policies, Codes of Ethics, and annual compliance reviews
- Ability to interpret regulatory requirements and provide practical compliance guidance
- Ability to work independently and exercise sound judgment
- Experience with SEC examinations or regulatory inquiries is a plus
Our Ideal Candidate
We are looking for someone who takes ownership of the compliance function, communicates clearly, and takes a practical, risk-based approach to compliance.
The ideal candidate can identify and address regulatory risks while working collaboratively with leadership to help the firm accomplish its business objectives in a compliant manner.
Compensation and Benefits
- Competitive salary based on experience
- 401(k)
- Health, dental, vision, and life insurance
- PTO, sick time, and paid holidays
- Financial planning services
- Professional development assistance
Location
This is a full-time, in-person position in Bountiful, Utah.
Work Location: In person
Pay: $80,000.00 - $90,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Health savings account
- Paid time off
- Professional development assistance
- Retirement plan
- Vision insurance
Work Location: In person
Salary : $80,000 - $90,000