Position Available: 

Full Time Compliance Consultant

Core Compliance & Legal Services, Inc.℠ specializes in investment adviser compliance and risk management for the financial industry. We are seeking a Compliance Consultant who has passion for learning and growing in this dynamic industry in a fast-paced environment with upward opportunities.

Summary:

The position supports Core Compliance’s consultation team in servicing its clients.

The 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 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:

The Compliance Consultant will assist with the following: 

  • 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
  • Perform additional tasks and projects, as assigned

Qualifications:

  • 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

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.

 

Salary:

  • Dependent on experience
  • Core Compliance offers an excellent salary and benefits package
  • Position advancement opportunities are made available

Travel:

Candidate will need to travel about 10% of the time.

 

To Apply:

Please submit a cover letter and resume to jobs@corecls.com