Compliance Professional

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.

• 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

• 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 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

Mid-Senior level

Full-time

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