Compliance Officer

Department / Entity: Compliance — HIS Envoys Group, LLC

Reports To: Chief Compliance Officer

Location: Fully Remote (open to candidates nationwide), or in-person in Colorado Springs, CO or Oakbrook Terrace, IL

Position Type: Permanent — Part-time (20 hours per week)

Licensing & Registration Requirements: None required. Series 65 license preferred.

Compensation: $34–$48 per hour, commensurate with experience, qualifications, and work location.

Application Deadline: This position is open until filled and applications are accepted on an ongoing basis.

ABOUT THE FIRM

HIS Envoys Group, LLC is a faith-driven financial firm committed to helping individuals, families, family offices, businesses, and nonprofits steward their God-entrusted resources for Kingdom impact. We partner with and serve a wide range of 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.

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 Envoys Group is committed to providing BRI investment solutions tailored to the needs and values of its clients and others that utilize our BRI models through Separately Managed Accounts (SMAs) and Collective Investment Trusts (CITs). HIS Envoys Group 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 entrusted to us to manage (1 Corinthians 4:2).

At HIS Envoys Group, professional expertise and Biblical 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.

POSITION SUMMARY

The Compliance Officer supports the Chief Compliance Officer in administering the day-to-day compliance program for HIS Envoys Group, LLC and its affiliated investment advisers, Harvest Investment Services, LLC and Envoy Advisory, Inc. This part-time role executes the operational work behind the firm's written compliance program under SEC Rule 206(4)-7, including Code of Ethics administration, recordkeeping, regulatory filings support, marketing review, and exam-readiness documentation. The role does not carry designated Chief Compliance Officer authority; it extends the Chief Compliance Officer's capacity to keep the firm's compliance obligations current, documented, and audit-ready across its SEC-registered advisory business.

KEY RESPONSIBILITIES

• Code of Ethics Administration. Administer the firm's Code of Ethics under SEC Rule 204A-1, collecting and reviewing personal securities transaction reports, holdings reports, and outside business activity and political contribution disclosures from access persons, and flagging potential violations or gaps to the Chief Compliance Officer.
• Compliance Calendar and Recordkeeping. Maintain the firm's compliance calendar and books-and-records program under Rule 204-2, tracking filing deadlines, required periodic reviews, and document retention across the firm's affiliated investment advisers.
• Regulatory Filings Support. Support preparation and timely submission of Form ADV amendments and other IARD filings, and track delivery of Brochure (Part 2A) and Brochure Supplement (Part 2B) updates to clients, maintaining a complete filing history for examination purposes.
• Marketing and Advertising Review. Review marketing materials, client communications, and website content for consistency with the Marketing Rule (Rule 206(4)-1), including testimonial, endorsement, and performance-advertising requirements, prior to publication or distribution.
• Correspondence and Electronic Communications Review. Review employee email and other electronic business communications captured in the firm's archiving system for consistency with SEC books-and-records requirements (Rule 204-2), the Marketing Rule, and firm policy, flagging potential issues to the Chief Compliance Officer.
• Monitoring and Testing. Conduct periodic testing of trading activity, fee billing, and account-opening documentation against firm policy, and reconcile custodial records with Fidelity, Schwab, and SEI in support of the Custody Rule (Rule 206(4)-2), documenting results and escalating exceptions.
• Training Administration. Coordinate and track completion of required compliance training for employees and access persons, including annual Code of Ethics acknowledgments, and maintain training records for audit purposes.
• Examination and Audit Preparation Support. Assist the Chief Compliance Officer in assembling documentation and drafting responses for SEC examinations, state adviser examinations, DOL audits, and the firm's annual SOC 1 engagement, keeping evidence files examination-ready year-round.
• Policy and Procedure Documentation. Maintain and update the firm's written policies and procedures manual to reflect regulatory changes and findings from the annual compliance review required under Rule 206(4)-7.

REQUIRED QUALIFICATIONS

• Three (3) or more years of experience in regulatory compliance within financial services or investment advisory operations.
• Working knowledge of the Investment Advisers Act of 1940 and its implementing regulations, including Rules 206(4)-7, 204A-1, 204-2, and 206(4)-1.
• Strong organizational skills and attention to detail, with the ability to manage recurring deadlines independently.
• Proficiency with Microsoft Office and Salesforce or comparable compliance/CRM platforms.

PREFERRED QUALIFICATIONS

• Active Series 65 license, or the ability to obtain it within a defined period after hire.
• Investment Adviser Certified Compliance Professional (IACCP) designation, or progress toward it.
• Prior experience supporting a Chief Compliance Officer or compliance department at a registered investment adviser.
• Working knowledge of ERISA fiduciary requirements and retirement plan compliance.
• Experience with Biblically Responsible Investing (BRI) models, Separately Managed Accounts (SMAs), or Collective Investment Trusts (CITs).
• Experience with industry email-archiving and compliance-surveillance software (such as Smarsh).
• Bachelor's degree, preferably with a concentration in Finance, Business, or a related field.

COMPENSATION & BENEFITS

Compensation: Pay Range: $34–$48 per hour, commensurate with experience, qualifications, and work location.

Benefits:

• Vacation accrued at 50% of the full-time allotment for the employee's Year of Service tier, with rate changes at the anniversary pay period.
• Paid sick leave accruing at 1 hour for every 30 hours worked (capped at 48 hours per year, carryover up to 48), or more where a state or local sick-leave law requires (for example, the Colorado Healthy Families and Workplaces Act).
• Eligibility for the firm's 401(k) plan, including employer contributions and a tenure-based matching schedule, in accordance with plan terms.
• Other group benefits (medical via ICHRA, dental, vision, life and disability coverage, the monthly benefit allowance, and profit sharing) are subject to the firm's plan eligibility rules and any full-time-hours threshold.

APPLICATION PROCESS

Qualified candidates are invited to apply through the firm's careers portal at hisenvoysgroup.bamboohr.com/careers. Applications will be reviewed on a rolling basis until the position is filled.

EQUAL OPPORTUNITY EMPLOYER

HIS Envoys Group, LLC is an Equal Opportunity Employer. The firm welcomes qualified candidates from all backgrounds and complies with all applicable federal, state, and local anti-discrimination laws. The firm does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, pregnancy, veteran status, or any other characteristic protected by applicable law.

The firm provides reasonable accommodations for religious beliefs, disability, pregnancy, and other protected characteristics in accordance with applicable law. Candidates who require an accommodation during the application or interview process should contact the firm's Director of Administration & HR.

PAY TRANSPARENCY DISCLOSURE

This posting is provided in accordance with applicable state pay transparency laws, including the Colorado Equal Pay for Equal Work Act, the Illinois Equal Pay Act, the Virginia Wage Transparency Act, and, because this remote role is open to candidates nationwide, California Labor Code Section 432.3 (as amended by SB 1162). The range reflects the firm's good-faith estimate of expected pay; actual compensation depends on the selected candidate's experience, qualifications, work location, and other lawful factors. The firm will confirm and comply with the pay transparency law of the state in which the selected candidate is located before extending an offer.