AlphaCore Wealth Advisory

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

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 reports to the CCO and 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 surveillance, advertising/marketing reviews).
• 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, CFP®) preferred.
• 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 to manage multiple priorities.
• 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.

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.

To apply: Send your resume and a cover letter to: careers@alphacore.com