Compliance Manager

POSTED ON 11/21/2022 CLOSED ON 12/22/2022
CG Financial Services Hired Organization Address Charlotte, NC Full Time

Job Posting for Compliance Manager at CG Financial Services

Job Summary:

CG Financial is an independent wealth management firm helping individuals and businesses achieve their financial objectives. We offer full service financial planning, investment, estate planning, corporate retirement planning and property and casualty insurance. We serve clients with 6 offices in Michigan, 3 offices in North Carolina and 1 office in Virginia.


Duties/Responsibilities:

  • Examining policies, procedures, and practices to ensure compliance with applicable laws, rules, and regulations.
  • Coordinating with practice staff and operation departments to ensure adherence to laws and regulations.
  • Coordinating and supporting compliance-related programs, such as compiling data for audits and regulatory filings, ensuring accuracy of reports, compliance training, disaster recovery review and contingency planning, records warehousing and destruction, internal compliance with policies and procedures, and regulatory licensing and registration.
  • Reviewing client documentation for compliance with alternative investment requirements including qualified purchaser, qualified client and accredited investor standards.
  • Assessing client, employee and firm compliance with federal trust bank, investment adviser and broker-dealer regulations.
  • Day to day compliance activities including file reviews, transaction reviews, and correspondence review.

Required Skills/Abilities:

  • Excellent verbal and written communication skills.
  • Excellent organizational skills and attention to detail
  • Excellent time management skills with proven ability to meet deadlines
  • Proficient in Microsoft Office Suite or related software.
  • Basic understanding of how to operate standard business equipment.
  • Proficient with Microsoft Office and related software
  • Ability to work independently.

Qualifications:

  • Bachelor's degree in Finance, Business or similar
  • 3 to 5 years of financial experience preferred
  • Ability to operate independently
  • Analytical with demonstrated attention to detail
  • Knowledge of and proficiency with a variety of computer software applications

Job Type:

  • Full Time

Physical Requirements:

  • Prolonged periods sitting at a desk and working on a computer.
  • Must be able to lift up to 15 pounds at times.

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