CGN Advisors, LLC · 1 week ago
Compliance Professional
Manhattan, KS
Full-time
Onsite
Mid, Senior Level
$65K/yr - $125K/yr
3+ years expCGN Advisors is an independent, Fee-Only financial planning and investment management firm headquartered in Manhattan, KS. They are seeking a Compliance Professional to manage and execute the firm's compliance program, educate IARs on regulatory matters, and interact with regulators.
ConsultingFinanceFinancial ServicesProfessional Services
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
Qualification
Required
Bachelor's degree
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
Preferred
IACCP designation
Benefits
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
Company
CGN Advisors, LLC
CGN Advisors in Manhattan, KS, is an independent fee-only financial planning and investment management firm focused on helping clients enjoy today while planning for tomorrow.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase