Senior Compliance Professional for Excellence

2 days ago


San Diego, California, United States Core Compliance & Legal Services, Inc. Full time
Job Overview: Core Compliance & Legal Services, Inc. is a rapidly growing company assisting registered investment advisers, broker-dealers, and financial professionals to ensure they meet complex regulations. Our Compliance Manager will play a key role in driving our success, overseeing workflow, team efficiencies, and sales initiatives, as well as implementing strategic initiatives and improving technology deployment.

**Responsibilities:** As our Compliance Manager, you will be responsible for overseeing quality assurance, implementing core values, managing KPIs, and driving firm operations initiatives. You will work closely with our CEO and Executive Management to achieve our objectives and contribute to our company culture. Your expertise will help us maintain excellence in client experience, project deliverables, and regulatory compliance.

**Requirements:** To succeed in this role, you must have a Bachelor's Degree or higher, at least 5 years of management experience in a similar compliance or financial services role, strong knowledge of Microsoft Office 365 programs, and excellent leadership, communication, and problem-solving skills. You should also be able to prioritize workload, manage multiple tasks, and make informed decisions under pressure. In return, we offer a highly competitive salary ($90,000 - $115,000 annually), excellent benefits package, and opportunities for career advancement.
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