Compliance Manager

2 days ago


San Diego, California, United States Core Compliance & Legal Services, Inc. Full time
Core Compliance & Legal Services, Inc. Seeks a Financial Services Professional

The company is an industry leading firm specializing in compliance consultation for SEC registered RIAs.

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.

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

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

A highly competitive salary, $80,000 per year DOE, excellent benefits package and quarterly/annual bonus opportunity, position advancement opportunities and continuing education support available. Located in San Diego, CA.



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