Compliance Associate

Job Description

Job Description

Description:

The CG Advisor Network supports independent financial advisors and firms throughout the country. We take pride in listening, simplifying and being advocates for our clients. This is a rapidly growing and exciting division of our firm to join!

Job Summary:

The Compliance Associate provides essential support to the Risk Management team by assisting

with administrative tasks, compliance testing, training and resource management, issue

escalation, ad hoc projects, and other related duties.

Responsibilities:

Risk Department Support:

• Maintain and organize risk management documentation, including policies, procedures, and incident reports.
• Schedule meetings, prepare agendas and minutes, and track action items.
• Manage department communications, including Compliance Inbox, task management system, and reports.
• Participate in risk assessments and other risk management projects related to legal, compliance, operations, or transitions of new advisors.
• Stay up to date on industry best practices and regulatory changes related to risk management.
• Provide support to other members of the Risk Management team as needed.

Compliance Testing and Monitoring:

• Facilitate the execution of compliance testing to ensure adherence to relevant laws, regulations, and internal policies.
• Document testing procedures and findings.
• Assist in the identification and escalation of potential risk events and incidents.

Training and Resources:

• Support the development and delivery of risk management training programs for employees.
• Maintain and update training materials, including presentations, manuals, and online resources.
• Track employee training completion and generate reports.

Experience & Skills

• Analytical and problem-solving ability
• Attention to detail
• Clear written and verbal communication
• Organizational and time-management skills
• Ability to follow and support established processes

Our Core Values:

1. Thirst for Knowledge: You’re endlessly curious and committed to continuous learning.
2. Innovative Problem Solver: You proactively create solutions, communicate clearly, and follow through.
3. Self-Motivated: You are driven, results-oriented, and embrace challenges.
4. Authentic: You operate with integrity and foster a drama-free, honest work environment.
5. Positively Impact People: You lift others up—clients, colleagues, and the community.

Benefits:

• Medical, dental, vision, LTD, STD, life insurance, and other ancillary benefits.
• Financial planning for all employees
• Safe Harbor 401(k) + discretionary profit-sharing
• Volunteering and community involvement
• PTO