Compliance Manager - AlphaCore Wealth Advisory : Job Details

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Location: San Diego, Denver, Austin, Washington DC area

Reports to: Chief Compliance Officer (CCO)

Experience Required: 5+ years of relevant compliance experience within an RIA or regulatory body

Overview:

A dynamic and growing independent Registered Investment Advisor (RIA) firm is seeking an

experienced Compliance Manager to join their thriving team. This individual will enhance and

oversee key aspects of our compliance program.

This role is ideal for a compliance professional with deep familiarity with SEC regulations and a

strong grasp of how they apply to the evolving needs of a high-touch wealth advisory business. This

individual flourishes in a challenging, fast-paced and professional environment.

Key Responsibilities:

•Assist the CCO with the administration and ongoing monitoring of the firm's compliance program

under SEC regulations.

•Review marketing materials, social media, and client communications for regulatory

compliance.

•Execute daily, monthly, and quarterly compliance testing (e.g., personal trading reviews, email

•Maintain and update required documentation, including policies and procedures, Code of Ethics,

and compliance calendar.

•Assist in preparing for and leading responses to regulatory examinations and inquiries.

•Help coordinate and track employee compliance training and annual certifications.

•Assist with regulatory filings including Form ADV, Form CRS, and 13F.

•Monitor regulatory developments.

•Support ad hoc projects as needed by the CCO or executive team.

Qualifications:

•Bachelor's degree required; advanced degree or industry credentials (e.g., JD, IACCP,

CFA,

•Minimum 5 years of compliance experience in an RIA, broker-dealer, or related financial services

firm.

•Strong knowledge of the Investment Advisers Act of 1940 and SEC regulations.

•Strong organizational skills, process improvement orientation, attention to detail, and ability

•Strong communication skills and discretion in handling confidential information.

•In-depth knowledge of the Investment Advisers Act of 1940, and strong working knowledge of Form

ADV, Form CRS, and Rule 206(4)-1.

•Excellent judgment, analytical, and interpersonal skills.

•Ability to work independently and collaboratively across departments.

•Demonstrated experience managing projects and regulatory interactions.

•Proficiency with compliance and workflow tools (e.g., ComplySci, Salesforce, Black Diamond

compliance modules, or similar) preferred.

Job Type: Full-time

Salary Range: $125,000 – 180,000 per year

To apply, email a cover letter and resume to [email protected].

AlphaCore is an SEC registered investment adviser and required to track certain political

contributions under rule 206(4)-5. Therefore, you will be required to disclose your prior political

contributions.

AlphaCore is an Affirmative Action/Equal Opportunity Employer committed to providing employment

opportunity without regard to an individual's race, color, religion, age, gender, gender identity,

sexual orientation, national origin, ancestry, marital status, medical condition, genetic

information, veteran status or disability.

For more information about the company, please refer to our website at www.alphacore.com.

AlphaCore is committed to safeguarding the privacy of our personnel and job applicants. AlphaCore

does not sell (as that term is defined in the CCPA) your personal information. Please see our

Seniority level

• Seniority levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionLegal

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