What are the responsibilities and job description for the Compliance Manager position at CG Financial Services?
Description
We are seeking a highly motivated Compliance Manager to support and enhance our firm’s regulatory compliance program within a dynamic Registered Investment Adviser (RIA) environment. This role works closely with the Chief Compliance Officer (CCO) and senior leadership to ensure adherence to federal and state securities regulations while promoting a culture of compliance across the organization.
This position plays a critical role in advising the business on regulatory requirements, evaluating risk, and exercising independent judgment in the administration of the firm’s compliance program.
Key Responsibilities
Required:
We are seeking a highly motivated Compliance Manager to support and enhance our firm’s regulatory compliance program within a dynamic Registered Investment Adviser (RIA) environment. This role works closely with the Chief Compliance Officer (CCO) and senior leadership to ensure adherence to federal and state securities regulations while promoting a culture of compliance across the organization.
This position plays a critical role in advising the business on regulatory requirements, evaluating risk, and exercising independent judgment in the administration of the firm’s compliance program.
Key Responsibilities
- Support the design, implementation, and continuous improvement of the firm’s compliance program, including evaluating effectiveness and recommending enhancements
- Maintain and update compliance policies, procedures, and disclosures (including Form ADV), exercising independent judgment in interpreting regulatory requirements
- Monitor regulatory developments and assess their impact on firm operations, providing recommendations to leadership
- Conduct compliance testing and surveillance across trading, billing, marketing, and recordkeeping
- Utilize ComplianceAlpha to manage testing workflows, track regulatory obligations, and document results
- Assist in regulatory filings and examinations, coordinating cross-functional responses
- Oversee compliance with the SEC Marketing Rule
- Support Code of Ethics administration, including personal trading and conflict analysis
- Coordinate branch review and risk assessment programs
- Manage compliance case workflows and referrals, including escalation to external compliance consultants
- Serve as liaison with third-party compliance vendors and implement recommendations
- Assist in vendor oversight and data protection efforts
- Partner with Legal, Operations, and leadership to mitigate compliance risks
- Support training initiatives and firm-wide compliance awareness
Required:
- Bachelor’s degree or higher in Finance, Business, Legal Studies, or related field
- 3–7 years of compliance experience in an RIA or financial services firm
- Working knowledge of SEC regulations and the Investment Advisers Act
- Strong analytical and communication skills
- IACCP designation
- Experience supporting SEC examinations
- Familiarity with compliance technology tools
- Experience working with compliance consultants
- Thirst for Knowledge: You are curious and creative, always building expertise and asking the right questions.
- Innovative Problem Solver: You propose solutions, lead by example, and follow through on commitments.
- Self-Motivated: You are proactive, results-oriented, and energized by new challenges.
- Authentic: You lead with honesty and integrity in everything you do.
- Positively Impact People: You are committed to growing those around you and striving for collective success.