Financial Services Leadership Role
2 days ago
At Core Compliance & Legal Services, Inc., we specialize in compliance consultation for SEC registered RIAs, providing innovative and value-driven services to our clients. With a strong focus on delivering quality and excellence, we have achieved a remarkable track record of success in San Diego, San Francisco, and other markets.
The RoleWe are seeking a seasoned Compliance Manager to join our dynamic team, driving firm operations initiatives and leading our professional consulting team. The ideal candidate will possess a deep understanding of regulatory compliance and a proven ability to manage complex systems and budgets successfully.
Key ResponsibilitiesThe successful candidate will be responsible for:
- 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
To be considered for this exciting opportunity, candidates should possess:
- 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
This position offers a highly competitive salary, estimated at $100,000 - $120,000 per annum, depending on experience. Additionally, you can expect an excellent benefits package and quarterly/annual bonus opportunity, as well as position advancement opportunities and continuing education support.
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