Chief Compliance Officer

Chief Compliance Officer

The Chief Compliance Officer (CCO) serves as the organization's senior authority on all regulatory and operational compliance matters, ensuring alignment with applicable federal and state laws, industry standards, and internal policies. This strategic leadership role provides executive oversight across all entities under the HIS Group umbrella, including advisory in both private wealth and retirement plans, and investment model management. As a key partner to the CEO and executive team, the CCO helps protect the firm's reputation, mitigates risk, and advances the organization's mission through compliance excellence. The CCO serves as the authority on compliance interpretation and application.

Key Responsibilities

• Enterprise Compliance Leadership: Provide executive oversight of the firm's compliance function across all business units and entities. Design and maintain a robust compliance program that protects the organization's integrity, advances mission-aligned practices, and ensures regulatory adherence.
• Regulatory Interpretation and Application: Interpret and apply complex federal and state regulations, including SEC, DOL, ERISA, and FINRA requirements, across organizational operations and service lines. Ensure consistent alignment with fiduciary standards and legal obligations.
• Policy Development and Enforcement: Revise and enforce firmwide compliance policies and procedures. Ensure internal controls and documentation meet all applicable regulatory standards and support the firm's values-driven approach to stewardship.
• Regulatory Monitoring and Risk Mitigation: Monitor changes in laws, rules, and industry practices. Assess risk exposure and implement proactive measures to maintain firmwide compliance and operational resilience.
• Audit and Examination Readiness: Lead internal reviews and risk assessments. Prepare the firm for all regulatory exams and audits, including SOC 1, and coordinate responses to findings, inquiries, or required corrective actions.
• Regulatory and Legal Liaison: Serve as the organization's primary point of contact for regulatory agencies, legal counsel, and third-party examiners. Provide timely and accurate communication in all formal compliance interactions.
• Executive Reporting and Strategic Counsel: Advise the CEO and executive team on compliance risks, strategic implications, and operational readiness. Deliver executive-level reports and participate in high-level decision-making that impacts compliance integrity.
• Training and Culture of Compliance: Promote a culture of ethical awareness and regulatory compliance through training, clear guidance, and cross-functional engagement. Support internal teams in embedding compliance into daily operations.
• Authority on Compliance Matters: Serve as the firm's authority on interpreting and applying regulatory requirements and internal compliance policies. Guide resolution of complex or escalated compliance concerns with clarity and discernment.

Key Metrics for Impact (KMIs)

• Timely completion of all regulatory filings, examinations, and internal reviews
• Zero major deficiencies noted in regulatory audits and SOC 1 assessments
• Compliance policy updates and training completion rates across departments
• Measurable reduction in compliance incidents, risk exposure, or audit findings
• Responsiveness and accuracy in interpreting and applying new regulations
• Strategic contributions to executive decision-making regarding compliance risk
• Implementation of corrective action plans within target timeframes
• Internal stakeholder satisfaction with compliance support and guidance

Required Qualifications

• Bachelor's degree required; advanced degree in law, finance, business administration or related field preferred (CFA or CFP a plus)
• 10+ years of progressive experience in regulatory compliance, preferably within financial services or investment advisor
• Deep understanding of SEC, DOL, ERISA, and related fiduciary standards
• Demonstrated experience overseeing or supporting SOC 1 or similar audit processes
• Proven ability to interpret and apply complex regulations in a multi-entity environment
• Excellent written and verbal communication skills

Behavioral Competencies

• Demonstrates strong values alignment with our firm mission statement; "To create Kingdom impact by championing Biblical financial stewardship." HIS Envoys Group is a stewardship company and adheres to the Biblical principle that it all belongs to God, and because it is all His, we are stewards of resources that we do not own but have been entrusted to us to manage. We help Christ Followers better align their God-entrusted resources with their Biblical values.
• Demonstrates professionalism and emotional intelligence in client and colleague interactions
• Exhibits an ownership mindset with strong follow-through and accountability
• Applies problem-solving and analytical thinking to resolve challenges and advance team goals
• Collaborates effectively across teams and departments
• Maintains high attention to detail and ensures data accuracy
• Aligns behavior with the mission, values, and service standards of HIS Envoys Group
• Exercises sound judgment under pressure, with high ethical standards
• Communicates complex compliance issues with clarity and diplomacy
• Demonstrates strategic thinking in interpreting and applying regulations
• Maintains discretion and confidentiality with sensitive information

Work Environment & Physical Requirements This role may be performed in a hybrid or remote capacity, or fully in person in Colorado Springs, CO or Oakbrook Terrace, IL, with occasional (less than 10%) intra-state travel required. Requires regular computer-based work and the ability to sit or stand for extended periods.

Work location and arrangement may be adjusted based on business needs and in compliance with applicable law.

Compensation Pay Rate: $120,000-$155,000 annually The anticipated salary ranges for highly qualified individuals, commensurate with experience and qualifications.

Disclosed in accordance with state law.

Career Progression

Defined progression for this role has yet to be established. As such, there is no set timeline for promotion; advancement will be based on individual performance and organizational business needs. The compensation range for any future advancement will be determined and disclosed at the time the new role is officially posted, in accordance with applicable state laws, including pay transparency requirements.

Benefits Overview Employees in this role are eligible for a comprehensive benefits package, including:

• Medical Insurance: Multiple plan options, including traditional copay and HSA-compatible plans
• Dental and Vision Insurance: Voluntary coverage with national provider networks
• Life and Disability Insurance: Employer-provided life insurance, short-term disability (STD), and long-term disability (LTD) coverage
• Monthly Benefit Allowance: A set monthly allowance is provided to apply toward employer-sponsored benefits or private plans of your choice
• Retirement Plan: 401(k) with employer contributions and a matching schedule that increases with tenure
• Paid Time Off: Flexible PTO policy that covers vacation, sick, and personal time, plus paid holidays
• Profit Sharing: Eligibility for company profit sharing based on organizational performance
• Professional Development: Reimbursement available for approved certifications, licenses and credentials

Equal Opportunity & Employment Status HIS Envoys Group is an Equal Opportunity Employer. All employment is at-will and subject to applicable federal, state, and local laws.

Non-Contract Disclaimer

This position description is not intended to create an employment contract, express or implied, and does not alter the at-will nature of employment.