Position Available: Full-Time Senior Compliance Consultant
Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), an industry leading firm specializing in compliance consultation for SEC registered RIAs, is in search of a Sr. Compliance Consultant to contribute to our expanding business. Our “why” at Core Compliance is to protect people’s dreams by delivering compliance services designed to safeguard investors and the businesses who serve them. We are seeking a Sr. Compliance Consultant who is enthusiastic about advancing in this dynamic industry within a high-energy environment and is driven by quarterly bonus opportunities tied to team performance.
Are You:
- Methodical and organized?
- Systematic in your approach when managing multiple projects at once?
- Easy going, respectful, and a team player?
- A relationship builder that understands the importance of client servicing?
- A proactive communicator that sets expectations?
- Motivated by quarterly bonus potential based on execution of deliverables?
The Sr. Compliance Consultant will be client facing and a key team player responsible for servicing our expanding compliance consultation clients. This team member will lead internal client teams to set proper expectations and ensure timely delivery of all compliance services to our clients. The Sr. Compliance Consultant should have at least ten (10) years of regulatory compliance experience within the financial industry; previous supervisory experience and/or regulatory experience (at the SEC, state, or FINRA) is a huge plus. This qualified candidate will be responsible for assisting with:
- Registration Filings, including Forms ADV, Form U4, 13F and other filings
- Authoring of client disclosure documents
- Policy and procedure development and maintenance
- Advertising and marketing reviews
- Annual Reviews, Risk Assessments, and Mock Regulatory Exams
- Preparation of clients for upcoming regulatory examinations
- Managing, mentoring, oversight, and training of the Consultant Team
- Addressing client inquiries and being an extension of their internal compliance team
- Performance of annual Anti-Money Laundering and Business Continuity Plan audits
- Additional tasks and projects, as assigned
What You Have:
- Bachelor’s Degree or higher
- 10+ years of compliance experience at a financial services firm
- Excellent verbal and written communication skills
- Experience with CRMs and compliance technology solution platforms
- Passion for compliance and research persistent
- A thirst for knowledge and desire to learn
- Eagerness to troubleshoot and follow-up
- Preference for project work and gets great satisfaction in completing and ticking off a “to-do” list
- Strong attention to detail with a pro-active approach to problem-solving
- Ability to build rapport and interface with sophisticated firm clients
- Strong knowledge of Microsoft Office 365 programs
- Ability to travel 10% of the time (post-COVID)
What You’ll Get:
- A highly competitive salary, DOE
- Excellent benefits package and quarterly/annual bonus opportunity
- Position advancement opportunities and continuing education support
About Us
Core Compliance is certified as a National Women Business Owners Corporation (“NWBOC”) which specializes in compliance and risk management for the financial industry. Core Compliance services clients throughout California and nationwide. Growing at a rapid pace, Core Compliance has achieved an impressive track record of success in the San Diego, Los Angeles, and San Francisco markets as well as nationally. The consultants and professional team at Core Compliance are industry thought-leaders, leveraging their collective knowledge and capabilities to help achieve each client’s objectives and goals. What sets us apart from other firms: 1% of firm revenues is donated to charity.
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