Financial Services Leadership Role

2 days ago


San Diego, California, United States Core Compliance & Legal Services, Inc. Full time
About the Company

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 Role

We 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 Responsibilities

The 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
Requirements and Qualifications

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
What You'll Get

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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