Institution : Compliance Consultancy
Role : Compliance Director
Reporting to : CEO
Location : San Diego, CA
Salary : $200,000 + Bonus
Role & Responsibilities :
Reporting to the CEO, this individual will be brought in to ma name a team of 6 Compliance professionals (internally) whilst also supporting the need of existing and inbound clientele.
The team is spread nationally, similar to the client base but this person needs to be in the San Diego or surrounding area, to be in office 3 days per week.
This person is expected to collaborate, take initiative, and drive firm operations initiatives across the team. Business Development activities are expected and around 25% of your time will be expected to be client driven, meaning outbound sales activities, such as network events, conferences, calling and virtual meetings.
As this person will report to the CEO, acting as liaison between the consultant team and Executive Management, this person will be ultimately responsible for :
- Oversight of quality assurance and consistency in deliverables and client experience
- Ongoing review and improvement of workflow, team efficiencies and sales initiatives
- 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
Requirements :
- Bachelor’s Degree, in a Business related field is expected.
- Additional Compliance or Wealth Management credentials are appreciated but not required.
- A minimum of 10 years’ worth of Compliance experience is needed, with an additional 5 years’ worth of management experience.
- 10 years’ worth of experience supporting or working at RIA, Broker Dealer an / or Investment Management firms is a MUST.
The firm typically supports clients $20BN AUM.
Being on-site at the office in San Diego, 3 days per week (minimum).
If you are interested in this opportunity, please send an updated resume to [email protected]
If this role is not of interest but you would like to discuss your current career situation then please send an updated resume and we can set up time to talk.
Feel free to share this information with your network.
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