Compliance Manager
CG Financial Services, Chicago, IL, United States
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
Requirements
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
Preferred
IACCP designation
Experience supporting SEC examinations
Familiarity with compliance technology tools
Experience working with compliance consultants
Our Core Values
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.
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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
Requirements
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
Preferred
IACCP designation
Experience supporting SEC examinations
Familiarity with compliance technology tools
Experience working with compliance consultants
Our Core Values
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.
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