Compliance Consultant

Core Compliance & Legal Services, Inc.; Northern, San Diego (KY, CA); Hybrid; USD 70,000 - 100,000; Full time

Benefits offered by this job

Excellent benefits package

Bonus opportunities

Job summary

Core Compliance & Legal Services, Inc. is seeking a Compliance Consultant to support servicing expanding compliance consultation clients, including investment advisers, hedge funds, private equity, broker-dealers, and insurers.

The candidate should have at least five years of regulatory compliance experience within the financial industry and be capable of policy and program development, internal controls, and client-facing communication.

Qualifications

• Bachelor’s degree or higher required.
• Minimum 5 years of regulatory compliance experience in the financial services行业.
• Excellent verbal and written communication skills.

Responsibilities

• Policy and procedure development and maintenance.
• Internal control guidance and development for compliance programs.
• Communicating regulatory changes to clients’ business operations.
• Registration and licensing of firms and individuals.
• Addressing client questions involving sales practices, compliance operations and trading.
• Authoring 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.

Skills

Communication

Client servicing

Teamwork

Education

Bachelor's degree or higher

Tools

Microsoft Word

Excel

Outlook

Job description

Position Available: Full-Time 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 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 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?

If so, this is the position for you!

Our Position:

The Compliance Consultant will be client facing and a key team player responsible for servicing our expanding compliance consultation clients, which include investment advisers, hedge fund, private equity firms, broker-dealers and insurance companies. The Compliance Consultant should have at least five (5) years of regulatory compliance experience within the financial industry. This qualified candidate will be responsible for assisting with:

• Policy and procedure development and maintenance
• Internal control guidance and development for compliance programs
• 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

What You Have:

• Bachelor’s Degree or higher
• 5+ years of compliance experience at a financial services firm
• Excellent verbal and written communication skills
• Personable, reliable self-starter and team player
• Proficiency with computers including Microsoft Word, Excel, and Outlook
• Strong attention to detail with a pro-active approach to problem solving
• Ability to work under pressure/deadlines and manage multiple priorities
• Ability to interface effectively with clients and team members

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.

“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”