Full-Time Senior Compliance Consultant

Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), a compliance consultation firm specializing in compliance services for the investment adviser and financial industry, is seeking a Sr. Compliance Consultant to support our growing business. Our clients include investment managers, broker-dealers, advisers to private funds, investment companies, and other financial institutions.

We are seeking a Sr. Compliance Consultant who has a passion for learning and growing in this dynamic industry in a fast-paced environment with upward opportunities. The ideal candidate will thrive working both collaboratively and independently, is extremely detailed, customer-centric, and hardworking.

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?

What You Have

Bachelor’s Degree or higher

10+ years of compliance experience at a financial services firm

Excellent verbal and written communication skills

Experience with CRMs and compliance technology solution platforms

Passion for compliance and research persistent

A thirst for knowledge and desire to learn

Eagerness to troubleshoot and follow-up

Preference for project work and gets great satisfaction in completing and ticking off a “to-do” list

Strong attention to detail with a pro-active approach to problem-solving

Ability to build rapport and interface with sophisticated firm clients

Strong knowledge of Microsoft Office 365 programs

Ability to travel 10% of the time (post-COVID)

What You’ll Get

A highly competitive salary, DOE

Excellent benefits package and annual bonus opportunity

Telecommuting 1-2 days per week (post-COVID)

Position advancement opportunities and continuing education support

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.

To Apply

Please submit cover letter and resume to: jobs@corecls.com and complete the Culture Index™ Survey by clicking on the link: https://take.surveys.ci/s/6GhuE7l27m/65911 No calls please.