Senior Culture of Compliance Consultant

Our Culture of Compliance defines how we uphold the highest professional, legal, and ethical standards in everything we do. Rooted in our core values, it guides our decisions, strengthens trust with clients and colleagues, promotes accountability, and enables us to identify and address issues proactively. Through this shared commitment, we foster enduring relationships and advance our purpose with integrity.

The mission of our Field Leadership teams, accomplished through Colleague and Culture Leaders (CACLs) or Regional Leaders, is to reinforce the firm’s commitment to compliance by bringing our core values to life through everyday actions and decisions. As part of Compliance, the Culture of Compliance Consultant Team partners with CACLs, Regional Leaders, Market Leaders and Home Office Stakeholders to strengthen a culture of integrity and accountability across the field and home office. Through consultation, education, and strategic support, the team helps leaders, branch teams and home office departments deliver outcomes that reflect our core values and uphold the highest professional and ethical standards.

As a Senior Culture of Compliance Consultant, you will serve as a trusted advisor to Field Leadership teams, helping connect compliance priorities to business purpose and influencing the behaviors that strengthen a culture of integrity, accountability, and sound decision-making. Through data-driven insights, strategic consultation, and targeted education, you will help leaders identify opportunities to improve compliance outcomes, integrate compliance considerations into regional business strategies, and drive sustainable results across markets and regions. Ultimately, you will help foster an environment where doing the right thing is embedded in everyday decisions and actions. Success in this role requires strong partnerships across Field Leadership, Compliance, and key stakeholders across the organization to ensure alignment, enable effective execution, and strengthen a culture of continuous learning, accountability, and development.

What You’ll Do:

• Lead and advance Culture of Compliance strategies that strengthen ethical decision-making, protect client and firm interests, and reinforce adherence to regulatory and firm standards.

• Serve as a trusted compliance advisor to Market Leadership, Regional Culture of Compliance teams, and Colleague and Culture Leaders (CACLs), driving accountability for compliance outcomes.

• Build leadership awareness and expertise in regulatory requirements, firm policies, emerging compliance trends, and risk-based decision-making.

• Design, implement, and scale compliance programs and initiatives that promote consistent ethical behaviors across markets, regions, and business functions.

• Partner with and influence leaders to achieve compliance objectives while balancing business priorities and regulatory expectations.

• Lead cross-functional and cross-divisional initiatives, including program design, testing, implementation, and continuous improvement efforts.

• Leverage data, tools, and insights to identify emerging risks, monitor compliance trends, communicate opportunities, and enhance program effectiveness.

• Contribute as a peer leader by supporting team development, providing interim leadership when needed, and championing inclusion, accessibility, and a strong compliance culture.

What Experience You’ll Need:

• B.A/B.S. degree or equivalent industry experience required

• Series 7 & 66

• Minimum of 5 years’ experience in the respective area or financial services industry and strong product knowledge

• Demonstrated executive-level communication skills, with the ability to influence, challenge, and align senior field and home office leaders on complex compliance matters

• Experience navigating complex, non-routine challenges, requiring critical thinking and sound judgment in a highly regulated environment

**Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.**