- 13F, 13H Filings
- Licensing and Registration
- Forms ADV
- Email and Personal Trading Surveillance
J.D., University of San Diego School of Law
B.A., Communications, Washington State University
BAR AND COURT ADMISSIONS
State Bar of California
Conor M. Dale serves as Compliance Analyst with Core Compliance & Legal Services, Inc.SM (“Core Compliance”). With an affinity for risk mitigation and AML compliance, Mr. Dale assists with improving internal controls for firms within the financial industry.
Mr. Dale assists our clients on a wide variety of matters, including Form ADV filings, compliance technology, surveillance efforts other regulatory filings. Prior to his current role with Core Compliance, Mr. Dale worked at the Law Office of Marc Adelman, where he focused on civil and business litigation. Prior to that, he worked as an Anti-Money Laundering Analyst with Caesars Entertainment where he developed and implemented anti-money laundering review procedures.
Mr. Dale received his J.D. from the University of San Diego School of Law, where his course work concentrated in Business & Corporate Law and Intellectual Property. He is licensed with the State Board of California. Notably, while attending law school, Mr. Dale was a two-time intramural softball champion.