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Compliance Professional for Fee-Only, SEC RIA Firm
CGN Advisors, LLC
Hybrid (Manhattan, KS, USA)
Jan 08, 2026
Overview 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 Bachelor’s degree...

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Location: 4900 Tiedeman Road, Brooklyn Ohio Job Summary The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets regulatory and internal standards. The primary responsibility is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to business partners, investigating potential fraud and elder abuse claims, and supporting other compliance projects. This position requires strong analytical skills, clear communication, and the ability to manage multiple priorities in a dynamic environment. About Key Investment Services LLC KIS is a retail dual registered fully disclosed introducing broker/dealer and investment adviser that is non-banking affiliate of KeyBank National Association and a subsidiary of KeyCorp, a federally registered bank holding company.  KIS also offers insurance products in conjunction with an affiliated insurance agency...
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Come join one of America’s fastest-growing insurance companies. Since 1848, National Life Group has aimed to keep our promises, providing families with stability in good times and in bad. Throughout that history, we have provided peace of mind to those families as they plan their futures. Our mission extends beyond the insurance and annuities policies that we offer. We strive to make the world a better place through our grants from our charitable foundation, paid volunteer time for our employees, environmentally sustainable and healthy workplaces, and events that promote the work of nonprofits in our own backyard. We foster a collaborative environment with opportunities for growth and encourage our associates to live our values: Do good. Be good. Make good. About Us NLG Capital, the investment management company of NLG, manages approximately $40 billion in AUM. Our purpose is simple – to allow NLG to keep its promises. How we do this – an obsessive focus on delivering...
Counsel, Funds & Investment Management
Dimensional Fund Advisors
Austin, TX, USA
Feb 04, 2026
Notes to applicants: Dimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and Fridays. This approach maximizes in-person collaboration and interaction while simultaneously providing flexibility and applies to most roles globally with a few exceptions that require more or less time in the office. Please discuss with your Recruiter to confirm the details for this specific role. Resumes and portfolios (when applicable) are required as part of your application. When applying from a mobile device or tablet, you may not be able to attach a resume. If you cannot include an attachment at the time of your application, you will receive a follow up email asking you to attach your resume from a computer....
Sr. Compliance Officer, LRC
BMO
Milwaukee, WI, USA
Feb 04, 2026
Application Deadline: 02/20/2026 Address: 790 N Water Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to...
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