Episode 14: Getting to Know Our Compliance Consultant

We introduce and get to know Core Compliance & Legal Services’ very own Compliance Consultant, who discusses his journey into compliance and provides tips to breaking into the industry.



CCO Buzz: Hello and welcome back to the CCO Buzz, Core Compliance and Legal Services’ weekly podcast show. We are currently on episode 14 after taking a brief hiatus, so we could enjoy our summer. But we’re back and ready with a new episode.

Today’s episode we’re taking a quick moment to introduce and get to know a member of the Core Compliance Team, Compliance Consultant. He is a published author, who has been in the compliance industry for over 10 years.

Tell me, how did you get into or what drew you to the compliance industry?

Compliance Consultant: I actually ended up in the compliance industry by happenstance. I was seeking an administrative position with a financial firm. And it just so happens that I was able to acquire work at a registered investment adviser, with over $35 billion in assets under management.

I was exposed to different areas of compliance. And through my position as an administrative assistant to the chief compliance officer, I was able to learn able different aspects of our compliance program at the time. Eventually I moved to other positions, including compliance marketing and then code of ethics. And then eventually working my way up to a compliance analyst position that allowed me to monitor personal trading activity, draft regulatory requirements, draft policy, file regulatory filings, and monitor anti-money laundering for the company.

And so through that evolution, I was able to learn about these different aspects of our compliance program and compliance, specifically within the RIA space.

CCO Buzz: Wow, that’s quite the compliance journey. Do you happen to have any tips for anyone wanting to get into compliance as a career?

Compliance Consultant: If someone is interested in pursuing compliance as a career, the first place they could start is conducting research online regarding different regulatory topics. There’s also taking the opportunity to talk to other compliance professionals in the industry.

If you currently work at a registered investment adviser, take the opportunity to talk to your chief compliance officer or compliance analyst and get a perspective on what their day-to-day is like.

There’s also local compliance organizations. Here in San Diego, [CA] we have the Southern California Compliance Group.

And if you’re looking for professional designation programs, the CSCP program; which is sponsored by the NSCP, the National Society of Compliance Professionals is a great certification program.

CCO Buzz: That’s really helpful. Thanks so much for talking to us on the CCO Buzz.

Compliance Consultant: It’s been my pleasure.

CCO Buzz: Well that’s it for this week’s episode. If you’d like additional information, please check out our website at www.corecls.com. You can also follow us on Facebook, LinkedIn or Twitter @CoreCLS. Thank you and we hope you tune into next week’s episode of the CCO Buzz.


For more information and considerations on how you can evaluate your practices and enhance your policies and procedures in this regard, we encourage you to please contact Core Compliance and Legal Services at (619) 278-0020 or at info@corecls.com


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