Compliance Senior Advisor or Manager

Plante Moran

Job Description
Make your mark. With more than $18.2 billion of assets under management, Plante Moran’s Wealth Management Team serves as a trusted advisor to more than 2,400 clients 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.


Plante Moran enjoys a “Workplace for Your Day” model which, simply put, means no one knows the best place for you to physically work better than you. Our staff choose their work location based on their individual day’s needs and gives them the flexibility they need when they need it. If staff need to go into the office to collaborate, the space is there, and if they have a day where they need to focus alone, then staying home works just fine, too.


Your role.

The Compliance Senior Advisor will assist the Chief Compliance Officer with oversight and control over the compliance and operations functions of Plante Moran Financial Advisors (PMFA), Plante Moran Insurance Agency (PMIA), and Plante Moran Trust (PMT).


Your work will include, but not be limited to:

Examining policies, procedures, and practices to ensure compliance with applicable laws, rules, and regulations.
Coordinating with practice staff and operation departments to ensure adherence to laws and regulations.
Coordinating and supporting compliance-related programs, such as compiling data for audits and regulatory filings, ensuring accuracy of reports, compliance training, disaster recovery review and contingency planning, records warehousing and destruction, internal compliance with policies and procedures, and regulatory licensing and registration.
Reviewing client documentation for compliance with alternative investment requirements including qualified purchaser, qualified client and accredited investor standards.
Assessing client, employee and firm compliance with federal trust bank, investment adviser and broker-dealer regulations.
Day to day compliance activities including file reviews, transaction reviews, and correspondence review.

The qualifications.

5+ years’ experience in banking, financial planning, brokerage, or investment advisory is required.
Knowledge of financial and risk principles that are driving the business as well as factors that affect performance.
Ability to monitor and prepare internal reviews.
Ability to gather and use relevant information and exercise individual judgment to evaluate conformance with regulations or standards.
Ability to analyze information and evaluate results.
Strong communication skills required to talk with people outside the Compliance Department explaining and interpreting compliance information.
Strong reasoning and analytical ability to categorize, calculate, tabulate, audit, or verify information.
Technology skills including those required to be proficient with firm software and regulatory systems.
Strong client service orientation.
Self-directed; displays initiative; ability to work independently.
Assertive, self-confident, and objective.
Organized; high attention to detail; ability to prioritize and multi-task.
Occasional overtime and weekend work may be required.

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.” 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.