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plante moran

Experienced Hires

PMFA Chief Compliance Officer

  • Location: United States, Michigan, Southfield

Date published:


From day one, experience our difference. With more than $12.4 billion of assets under management, Plante Moran’s Wealth Management Team serves as a trusted advisor to more than 2,400 high net worth individuals, family business owners, and corporate retirement plans helping them build, manage and preserve their wealth.  Our integrated affiliate services include investment consulting, financial planning, trust, insurance consulting, estate planning, business succession, and tax planning.

Your role.

Your work will include, but not be limited to:

  • Examining policies, procedures, and practices to ensure compliance with laws and regulations.  Overseeing the revision, preparation, and dissemination of new and updated compliance standards and procedures.
  • Staying abreast of changes to federal and state banking and securities laws and regulations affecting management, operations, and product offerings.
  • Coordinating with legal counsel and operating departments to ensure adherence to laws and regulations relating to new or revised product and service offerings.
  • Coordinating, supervising, and supporting team’s compliance related programs such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, record warehousing and destruction, internal compliance audits and implementation of new compliance guidelines and procedures.
  • Arranging compliance audits and inform the Board of Directors of audit results.
  • Informing and advising management of conditions and status of establishment adherence to laws and regulatory requirements.
  • Consulting with and advising other Plante Moran operating units and managers affected by compliance related issues and regulatory requirements, including frequent communication and exchange of information with staff who have inquiries.
  • Managing day-to-day compliance activities including file reviews, transaction reviews, correspondence and advertising oversight, AML compliance and coordination of NASD, State Banking Authorities and SEC audits.

The qualifications.

  • Bachelors’ Degree in Accounting, Finance, Economics or related field is required
  • Masters’ Degree in related field and/or Juris Doctorate preferred
  • NASD series 7 & 24 registration is required; NASD series 27 is highly preferred
  • 10+ years of compliance experience in investment banking, financial planning, brokerage or investment management industry is required
  • This position may require some local, national, and occasional international travel.

Our difference.

We are a nationally recognized public accounting, consulting, and wealth management firm, consistently ranked as one of FORTUNE magazine’s “100 Best Companies to Work For.” We have been recognized on Forbes “Top 50 Wealth Managers” list and honored as the fifteenth largest independent financial advisory firm based on assets under management, according to Financial Advisor magazine.  At Plante Moran, we live by the Golden Rule, fostering a relatively “jerk-free” culture with the lowest staff turnover rate in the industry. Our supportive network of well-rounded professionals is excited to catapult your growth and help pave your pathway to professional excellence.

Apply now. Experience our difference.

This is an exempt position, so you may have to work hours that exceed the standard 40-hour work week.

Plante Moran is an Equal Opportunity Employer, committed to a diverse workplace.

Interested applicants must submit their resume for consideration using our applicant tracking system. Due to the high volume of applications received, only candidates selected for interviews will be contacted. Candidates must be legally authorized to work in the United States without sponsorship, with the exception of candidates that are bilingual in Japanese and English. Unsolicited resumes from search firms or employment agencies, or similar, will not be paid a fee and become the property of Plante Moran.   

The specific statements above are not intended to be all-inclusive.