Full-Time Senior Compliance Consultant

Position Available : Full-Time Senior Compliance Consultant

Core Compliance & Legal Services, Inc.? ("Core Compliance"), an industry leading firm specializing in compliance consultation for SEC registered RIAs, is in search of a Sr. Compliance Consultant to contribute to our expanding business. 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 Sr. Compliance Consultant who is enthusiastic about advancing in this dynamic industry within a high-energy environment and is driven by quarterly bonus opportunities tied to team performance.

Are You :

• Methodical and organized?
• Systematic in your approach when managing multiple projects at once?
• Easy going, respectful, and a team player?
• A relationship builder that understands the importance of client servicing?
• A proactive communicator that sets expectations?
• Motivated by quarterly bonus potential based on execution of deliverables?

The Sr. Compliance Consultant will be client facing and a key team player responsible for servicing our expanding compliance consultation clients. This team member will lead internal client teams to set proper expectations and ensure timely delivery of all compliance services to our clients. The Sr. Compliance Consultant should have at least ten (10) years of regulatory compliance experience within the financial industry; previous supervisory experience and / or regulatory experience (at the SEC, state, or FINRA) is a huge plus. This qualified candidate will be responsible for assisting with :

What You Have :

What You'll Get :

About Us

Core Compliance is certified as a National Women Business Owners Corporation ("NWBOC") 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.

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