Job summary
Job post source
This job is from a recruiting firm hiring for a separate company named AlphaCore Wealth Advisory, as the description highlights AlphaCore as the employer and provides an application email specific to AlphaCore, not the National Society of Compliance Professionals.
Job overview
The Compliance Manager role at AlphaCore Wealth Advisory involves enhancing and overseeing the firm's compliance program to ensure adherence to SEC regulations within a high-touch wealth advisory environment.
Responsibilities and impact
The Compliance Manager will assist the CCO in administering the compliance program, review marketing and client communications for compliance, conduct regular compliance testing, maintain documentation, prepare for regulatory examinations, coordinate employee training, handle regulatory filings, monitor regulatory changes, and support ad hoc projects.
Experience and skills
Candidates need a bachelor's degree with 5+ years of compliance experience in RIA or financial services, strong knowledge of SEC regulations and the Investment Advisers Act of 1940, excellent organizational and communication skills, and proficiency with compliance tools is preferred. Advanced degrees or industry credentials are preferred.
Work environment and culture
AlphaCore is described as a dynamic, growing, and professional environment committed to equal opportunity employment and diversity.
Company information
AlphaCore Wealth Advisory is an independent SEC registered investment adviser with a focus on wealth advisory services and regulatory compliance.
Job location and travel
The position is located in San Diego, Denver, Austin, or the Washington DC area, indicating multiple possible office locations.
Application process
Applicants must send a resume and cover letter to careers@alphacore.com to apply.
Unique job features
The role involves working closely with the CCO and handling complex regulatory compliance tasks in a fast-paced environment, with a requirement to disclose prior political contributions due to regulatory rules.
Company overview
The National Society of Compliance Professionals (NSCP) is a leading nonprofit organization dedicated to supporting compliance professionals in the financial services industry through education, resources, and networking opportunities. NSCP generates revenue primarily from membership dues, conferences, training programs, and publications tailored to regulatory compliance topics. Founded in 1987, the organization has played a significant role in shaping industry standards and fostering dialogue between compliance professionals and regulators. NSCP is recognized for its independent, member-driven approach and its influential annual national conference. Candidates should be aware that NSCP emphasizes professional development, ethical standards, and staying current with evolving regulatory requirements.
How to land this job
Tailor your resume to emphasize your deep knowledge of SEC regulations, especially the Investment Advisers Act of 1940, and your experience managing compliance programs in RIA or financial services environments.
Highlight specific skills such as reviewing marketing materials for regulatory compliance, conducting compliance testing, preparing regulatory filings like Form ADV and Form CRS, and managing regulatory examinations.
Apply through multiple channels including the National Society of Compliance Professionals' corporate career page, AlphaCore's website, LinkedIn job postings, and relevant financial services job boards to maximize your application visibility.
Connect with compliance professionals and team members at the National Society of Compliance Professionals on LinkedIn; use ice breakers like commenting on recent regulatory changes affecting RIAs or asking about the challenges of compliance management in a high-touch wealth advisory setting.
Optimize your resume for ATS by incorporating keywords from the job description such as 'SEC regulations,' 'Investment Advisers Act,' 'Form ADV,' 'compliance testing,' and 'regulatory filings' to ensure it passes initial screenings.
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