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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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Wealth & Investment Management Intern
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Santa Monica, CA, USA
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