Senior Compliance Consultant
Core Compliance & Legal Services, Inc.℠
Location: San Diego, CA, Hybrid, Remote
Core Compliance & Legal Services, Inc.℠ specializes in investment adviser compliance and risk management for the financial industry. The Senior Compliance Consultant has a passion for learning and growing in this dynamic industry in a fast-paced environment with upward opportunities. An ideal Consultant is one who thrives both working independently and as part of a team, is extremely detailed, earnest and hardworking.
Key attributes:
• Methodical and organized
• Systematic in approach, going from one project to another and find problem solving on a technical level as rewarding
• Easy going and respectful, preferring private acknowledgement rather than public praise
• Enjoy managing a series of small to medium risk type projects
SUMMARY
The position supports Core Compliance’s consultation team in servicing its clients.
The Senior Compliance Consultant will be a key team player responsible for servicing our compliance consultation clients, which include investment advisers, hedge fund, private equity firms, broker-dealers and insurance companies. The Senior Compliance Consultant has at least ten (10) years of regulatory compliance experience within the financial industry. This position will be responsible for assisting with:
• Policy and procedure development and maintenance
• Internal control guidance and development for compliance programs
• Provide expert compliance advice related to securities regulations, including SEC, FINRA, and other regulatory bodies
• Communicating regulatory changes to our clients’ business operations
• Registration and licensing of firms and individuals
• Addressing client questions involving sales practices, compliance operations and trading
• Authoring of Forms ADV and Form BD
• Advertising and marketing reviews
• Preparation of clients for upcoming regulatory examinations
• Performance of annual Anti-Money Laundering and Business Continuity Plan audits
• Provide mentorship and guidance to Compliance Consultants and Compliance Analyst
• Opportunity within 6-12 months to manage San Diego Consultant(s) and a Compliance Analyst
• Perform additional tasks and projects, as assigned
Additional Requirements:
• Bachelor’s Degree or higher
• 10+ years of compliance experience at a financial services firm
• Exceptional client service and client retention mindset
• Excellent verbal and written communication skills
• Risk averse and research persistent
• Has a thirst for knowledge and wants to learn the nuts and bolts
• Approaches each project with an eager will to troubleshoot and follow up
• Prefers project-based work and gets great satisfaction in completing and ticking off a “to do” list
• Strong collaboration and teamwork skills
• Superior attention to detail with a pro-active approach to problem solving
• Proficiency with computers including Office 365, experience with Orion a plus
ABOUT THE FIRM
Core Compliance is certified as a NWBOC (woman owned business) 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.
TRAVEL
Consultant will need to travel about 10% of the time for potential client visits or industry events/conferences.
To apply please email jobs@corecls.com.