Financial Compliance Consultant - Client-Facing

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

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.