Chief Compliance Officer

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    "datePosted": "2026-02-17",
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    "description": "<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Department:</span> Executive Team</span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Reports To:</span> CEO</span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Location: </span></span>Colorado Springs, CO • Oakbrook Terrace, IL • Hybrid • In‑Person • Fully Remote</p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">FLSA Status:</span> Exempt</span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Position Type:</span> Permanent — Full-time</span></p>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Organization Summary </span><br>The HIS Envoys Group of companies is a faith-driven financial firm committed to helping individual families, family offices, businesses, and nonprofits steward their God entrusted resources for Kingdom impact. We partner with and serve a wide range of both individual and institutional clients—including churches, ministries, rescue missions, retreat centers, and values-driven for-profit organizations—providing investment, retirement, and financial consulting solutions that align with biblical principles.</span></p>\n<p><span style=\"font-size: 12pt\">Our team shares a deep commitment to our clients’ mission and values. We believe stewardship is a calling, not just a job. Whether serving a nonprofit ministry or a faith-led business, we approach every client relationship with integrity, clarity, and long-term vision. Our Biblically Responsible Investing (BRI) strategies reflect this conviction, helping clients pursue both financial growth and eternal impact. HIS is committed to providing BRI investment solutions tailored to the needs and values of its clients and others that utilize our BRI models through SMA’s and CITs. Harvest is a stewardship company and adheres to the biblical principle that it all belongs to God, and because it’s all HIS, we are stewards of resources that we do not own, but have been trusted to us to manage. <br> </span></p>\n<p><span style=\"font-size: 12pt\">At HIS Envoys Group you’ll find a place where your professional expertise and your faith-driven purpose come together. We foster a collaborative, high-performance environment where team members are encouraged to grow, lead, and make a meaningful difference in the lives of those we serve.</span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Position Summary </span><br>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.</span></p>\n<p><br><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Key Responsibilities </span></span></p>\n<ul>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Enterprise Compliance Leadership</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Regulatory Interpretation and Application</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Policy Development and Enforcement</span>: , 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Regulatory Monitoring and Risk Mitigation</span>: Monitor changes in laws, rules, and industry practices. Assess risk exposure and implement proactive measures to maintain firmwide compliance and operational resilience.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Audit and Examination Readiness</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Regulatory and Legal Liaison</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Executive Reporting and Strategic Counsel</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Training and Culture of Compliance</span>: 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.</span></li>\n<li><span style=\"font-size: 12pt\"> <span style=\"font-weight: bold\">Authority on Compliance Matters</span>: 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.</span></li>\n</ul>\n<p><span style=\"font-size: 12pt\"><br></span><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Key Metrics for Impact (KMIs) </span></span></p>\n<ul>\n<li><span style=\"font-size: 12pt\"> Timely completion of all regulatory filings, examinations, and internal reviews</span></li>\n<li><span style=\"font-size: 12pt\"> Zero major deficiencies noted in regulatory audits and SOC 1 assessments</span></li>\n<li><span style=\"font-size: 12pt\"> Compliance policy updates and training completion rates across departments</span></li>\n<li><span style=\"font-size: 12pt\"> Measurable reduction in compliance incidents, risk exposure, or audit findings</span></li>\n<li><span style=\"font-size: 12pt\"> Responsiveness and accuracy in interpreting and applying new regulations</span></li>\n<li><span style=\"font-size: 12pt\"> Strategic contributions to executive decision-making regarding compliance risk</span></li>\n<li><span style=\"font-size: 12pt\"> Implementation of corrective action plans within target timeframes</span></li>\n<li><span style=\"font-size: 12pt\"> Internal stakeholder satisfaction with compliance support and guidance</span></li>\n</ul>\n<p><span style=\"font-size: 12pt\"><br></span><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Required Qualifications </span></span></p>\n<ul>\n<li><span style=\"font-size: 12pt\"> Bachelor’s degree required; advanced degree in law, finance, business administration or related field preferred (CFA or CFP a plus)</span></li>\n<li><span style=\"font-size: 12pt\"> 10+ years of progressive experience in regulatory compliance, preferably within financial services or investment advisor</span></li>\n<li><span style=\"font-size: 12pt\"> Deep understanding of SEC, DOL, ERISA, and related fiduciary standards</span></li>\n<li><span style=\"font-size: 12pt\"> Demonstrated experience overseeing or supporting SOC 1 or similar audit processes</span></li>\n<li><span style=\"font-size: 12pt\"> Proven ability to interpret and apply complex regulations in a multi-entity environment</span></li>\n<li><span style=\"font-size: 12pt\"> Excellent written and verbal communication skills</span></li>\n</ul>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Behavioral Competencies </span></span></p>\n<ul>\n<li><span style=\"font-size: 12pt\">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.</span></li>\n<li><span style=\"font-size: 12pt\">Demonstrates professionalism and emotional intelligence in client and colleague interactions</span></li>\n<li><span style=\"font-size: 12pt\">Exhibits an ownership mindset with strong follow-through and accountability</span></li>\n<li><span style=\"font-size: 12pt\">Applies problem-solving and analytical thinking to resolve challenges and advance team goals</span></li>\n<li><span style=\"font-size: 12pt\">Collaborates effectively across teams and departments</span></li>\n<li><span style=\"font-size: 12pt\">Maintains high attention to detail and ensures data accuracy</span></li>\n<li><span style=\"font-size: 12pt\">Aligns behavior with the mission, values, and service standards of HIS Envoys Group</span></li>\n<li><span style=\"font-size: 12pt\">Exercises sound judgment under pressure, with high ethical standards</span></li>\n<li><span style=\"font-size: 12pt\">Communicates complex compliance issues with clarity and diplomacy</span></li>\n<li><span style=\"font-size: 12pt\">Demonstrates strategic thinking in interpreting and applying regulations</span></li>\n<li><span style=\"font-size: 12pt\">Maintains discretion and confidentiality with sensitive information</span></li>\n</ul>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Work Environment &amp; Physical Requirements </span><br>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.</span></p>\n<p><br><br></p>\n<p><span style=\"font-size: 12pt\">Work location and arrangement may be adjusted based on business needs and in compliance with applicable law.</span></p>\n<p><br><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Compensation                                     </span><br><span style=\"font-weight: bold\">Pay Rate:</span> $120,000-$155,000 annually<br><em>The anticipated salary ranges for highly qualified individuals, commensurate with experience and qualifications.</em></span></p>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt\">Disclosed in accordance with state law.</span></p>\n<p><br><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Career Progression</span></span></p>\n<p><span style=\"font-size: 12pt\">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.</span></p>\n<p><br><br></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Benefits Overview <br></span>Employees in this role are eligible for a comprehensive benefits package, including:</span></p>\n<ul>\n<li><span style=\"font-size: 12pt\">Medical Insurance: Multiple plan options, including traditional copay and HSA-compatible plans</span></li>\n<li><span style=\"font-size: 12pt\">Dental and Vision Insurance: Voluntary coverage with national provider networks</span></li>\n<li><span style=\"font-size: 12pt\">Life and Disability Insurance: Employer-provided life insurance, short-term disability (STD), and long-term disability (LTD) coverage</span></li>\n<li><span style=\"font-size: 12pt\">Monthly Benefit Allowance: A set monthly allowance is provided to apply toward employer-sponsored benefits or private plans of your choice</span></li>\n<li><span style=\"font-size: 12pt\">Retirement Plan: 401(k) with employer contributions and a matching schedule that increases with tenure</span></li>\n<li><span style=\"font-size: 12pt\">Paid Time Off: Flexible PTO policy that covers vacation, sick, and personal time, plus paid holidays</span></li>\n<li><span style=\"font-size: 12pt\">Profit Sharing: Eligibility for company profit sharing based on organizational performance</span></li>\n<li><span style=\"font-size: 12pt\">Professional Development: Reimbursement available for approved certifications, licenses and credentials</span></li>\n</ul>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt\"><span style=\"font-weight: bold\">Equal Opportunity &amp; Employment Status</span><br>HIS Envoys Group is an Equal Opportunity Employer. All employment is at-will and subject to applicable federal, state, and local laws.</span></p>\n<p><span style=\"font-size: 12pt\"> </span></p>\n<p><span style=\"font-size: 12pt; font-weight: bold\">Non-Contract Disclaimer</span></p>\n<p><span style=\"font-size: 12pt\">This position description is not intended to create an employment contract, express or implied, and does not alter the at-will nature of employment.</span></p>\n<p><span style=\"font-size: 12pt\"> </span></p>",
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