Job Details

Position Available: Full-Time Compliance Manager

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 Manager to maximize productivity of the professional team and deliver an outstanding customer experience. 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 Manager who is enthusiastic about advancing in this dynamic industry within a high-energy environment and driven by bonuses tied to team performance.

*Position to be based in San Diego

Our Position:

The Compliance Manager will be able to collaborate, take initiative, and drive firm operations initiatives within our professional consulting team. Top candidates will be able to not only understand our core values, but also be able to demonstrate their exemplarily leadership and understanding of profitability goals. The Compliance Manager will report to our CEO, acting as liaison between the consultant team and Executive Management. This qualified candidate will be responsible for assisting with:

• Oversight of quality assurance and consistency in deliverables and client experience
• Ongoing review and improvement of workflow, team efficiencies and sales initiatives
• Implementation of Core Compliance strategic initiatives and execution thereof
• Development of existing technologies, software and training needs to deploy superb customer servicing and retention
• Oversight of KPIs and presentation of such to Executive Management
• Management and deployment of new client deliverables

NOTE: This description is not an exhaustive list of all role responsibilities, skill and standards required. Other responsibilities, skills, and standards may be added. Management reserves the right to add or change the job requirements at any time.

Qualifications:

• Bachelor's Degree or higher
• Minimum of five (5) years' experience in a management position in a similar compliance or financial services role
• Proven track record of managing a team, complex systems and budgets successfully
• A dedication to the client experience and the stability and reliability of project deliverables
• Excellent verbal and written communication skills
• Exceptional leadership, ethics, problem solving and understanding of systems and process improvement
• Strong understanding of how to leverage technology to improve processes and team efficiencies
• Outstanding organizational and project management skills with exceptional attention-to-detail
• Ability to manage multiple tasks and prioritize workload
• Must exercise initiative and be able to collaborate in a team environment
• Ability to build rapport and interface with sophisticated firm clients
• Strong knowledge of Microsoft Office 365 programs

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

At Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), we assist registered investment advisers, broker-dealers, advisers to private funds, advisers to investment companies, and financial professionals to ensure they are meeting the complex regulations that heavily impact their business. From a firm's initial registration to internal control development, enhancement, and ongoing maintenance, we assist our clients in enhancing the strength of their compliance programs. Growing at a rapid pace, Core Compliance has achieved an impressive track record of success in San Diego, San Francisco, and other markets. Core Compliance is certified as an NWBOC (woman-owned business) and headquartered out of San Diego, CA.

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