CGN Advisors, LLC
CGN Advisors is an independent, Fee-Only financial planning and investment management firm (SEC RIA) headquartered in Manhattan, KS, with offices located around the country. Depending on experience and qualifications, we are looking for a Compliance Associate or a Compliance Manager for our Operations division.
Roles and Responsibilities
Manage all aspects and execute the day-to-day tasks of the firm’s compliance program
Monitor and test the firm’s policies and procedures to ensure effectiveness of the compliance program
Educate the firm’s IARs on regulatory compliance matters
Serve as in-house compliance expert, responding to compliance-related questions from IARs
Assist with the new IAR onboarding process
Remain current with regulatory changes, annual examination priorities, etc.
Interact with regulators, examiners, attorneys, etc. as needed
Administer the firm’s enterprise systems
Qualifications and Education Requirements
3-7 years of relevant regulatory compliance experience
Experience interacting with SEC and state regulators
Understanding of the Investment Advisers Act of 1940, ERISA and other relevant regulations
Good communication skills with a positive attitude
General proficiency in Comply for RIA, Microsoft Office products, Adobe and Zoom
Strong interest in career path progression to CCO role
Compensation and Benefits
Compensation range expected to be between $65,000 and $125,000 for full-time, depending on experience and qualifications, including a fixed salary plus performance bonus
Opportunity for ownership upon progression to CCO role
401k with company match
Health insurance with company contribution
Open PTO plus generous maternity and paternity leave policy
Approachable, smart casual work culture
Team focused work environment
Seniority level Mid-Senior level
Employment type Full-time
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Roles and Responsibilities
Manage all aspects and execute the day-to-day tasks of the firm’s compliance program
Monitor and test the firm’s policies and procedures to ensure effectiveness of the compliance program
Educate the firm’s IARs on regulatory compliance matters
Serve as in-house compliance expert, responding to compliance-related questions from IARs
Assist with the new IAR onboarding process
Remain current with regulatory changes, annual examination priorities, etc.
Interact with regulators, examiners, attorneys, etc. as needed
Administer the firm’s enterprise systems
Qualifications and Education Requirements
3-7 years of relevant regulatory compliance experience
Experience interacting with SEC and state regulators
Understanding of the Investment Advisers Act of 1940, ERISA and other relevant regulations
Good communication skills with a positive attitude
General proficiency in Comply for RIA, Microsoft Office products, Adobe and Zoom
Strong interest in career path progression to CCO role
Compensation and Benefits
Compensation range expected to be between $65,000 and $125,000 for full-time, depending on experience and qualifications, including a fixed salary plus performance bonus
Opportunity for ownership upon progression to CCO role
401k with company match
Health insurance with company contribution
Open PTO plus generous maternity and paternity leave policy
Approachable, smart casual work culture
Team focused work environment
Seniority level Mid-Senior level
Employment type Full-time
Referrals increase your chances of interviewing at CGN Advisors, LLC by 2x
Get notified about new Professional jobs in Manhattan, KS.
#J-18808-Ljbffr