Note: The job is a remote job and is open to candidates in USA. Core Compliance & Legal Services, Inc. is a compliance consultation firm serving financial industry clients. The Compliance Consultant supports the consultation team by servicing clients, developing and maintaining compliance programs, addressing regulatory matters, preparing regulatory filings, reviewing advertising, and assisting with regulatory examinations and audits.
Responsibilities
- Policy and procedure development and maintenance
- Internal control guidance and development for compliance programs
- Communicating regulatory changes to our clients’ business operations
- Registration and licensing of firms and individuals
- Addressing client questions involving sales practices, compliance operations and trading
- Authoring of Forms ADV and Form BD
- Advertising and marketing reviews
- Preparation of clients for upcoming regulatory examinations
- Performance of annual Anti-Money Laundering and Business Continuity Plan audits
- Perform additional tasks and projects, as assigned
Skills
- The Compliance Consultant should have at least five (5) years of regulatory compliance experience within the financial industry
- Bachelor's Degree or higher
- 5+ years of compliance experience at a financial services firm
- Excellent verbal and written communication skills
- Personable, reliable self-starter and team player
- Proficiency with computers including Microsoft Word, Excel, and Outlook
- Strong attention to detail with a pro-active approach to problem solving
- Ability to work under pressure/deadlines and manage multiple priorities
- Ability to interface effectively with clients and team members
- San Diego preferred (On-site/Hybrid), open to West Coast remote candidates willing to travel to San Diego
Benefits
- Quarterly bonus opportunities tied to team performance
- Excellent benefits package and quarterly/annual bonus opportunity
- Position advancement opportunities
- Continuing education support
- San Diego preferred (On-site/Hybrid), open to West Coast remote candidates willing to travel to San Diego.
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