Compliance Associate (RIAs/Funds/BDs)

Vigilant Compliance; Philadelphia (Philadelphia County); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Paid holidays

Vacation days

401k with match

Additional benefits

Job summary

Vigilant Compliance is seeking a Compliance Associate to join our team in the financial services and investment management space. You will support development, maintenance and testing of clients’ compliance programs, while aiding internal staff and overseeing regulatory filings for RIAs, funds, and broker-dealers.

Based in Chadds Ford, PA, the role emphasizes integrity, attention to detail, and independent judgment, with standard business hours and a competitive salary plus holidays, vacation,

Qualifications

• Bachelor's degree required.
• Knowledge of federal securities laws (Investment Advisers Act; Investment Company Act).
• Series 7, 24 a Plus.
• Strong written and oral communication; detail oriented.

Responsibilities

• Supporting the development, implementation, maintenance and testing of clients’ compliance programs;
• Providing support to the internal staff at Vigilant
• Helping manage our clients’ (e.g., Investment Advisers, Funds, & Broker-Dealers) compliance tasks and compliance programs;
• Supporting mock regulatory examinations and compliance program reviews
• Assisting with policy and procedure reviews;
• Drafting and overseeing the preparation of reports and manuals that promote compliance with regulatory requirements;
• Assisting with compliance questionnaires and due diligence questionnaires;
• Compiling data for regulatory filings (e.g., Forms 13F, ADV);
• Providing compliance assistance and advice to clients;
• Managing and supporting assigned client relationships;
• Participating in team projects and initiatives to streamline policies and procedures.

Skills

Regulatory compliance

Series 7

Advisor experience

Education

Bachelor's degree

Job description

Primary Location: 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317

Company: Vigilant Compliance

Client Types: Registered Investment Advisers ("RIAs"), Registered/Private Funds and Broker Dealers ("BDs")

Job Description:

Vigilant is seeking a Compliance Associate to join its growing firm in the Financial Services and Investment Management Industry.

We are based in Chadds Ford, Pennsylvania. Our hours are normal business hours Monday through Friday. We offer a competitive salary, based on experience, as well as paid holidays, vacation days, 401k with a match, and additional benefits.

Key Qualifications:

• Investment Company Act Experience Required (Minimum 3 Years)
• Adviser, Fund CCO Experience
• Series 7, 24 a Plus

Responsibilities:

• Supporting the development, implementation, maintenance and testing of clients’ compliance programs;
• Providing support to the internal staff at Vigilant
• Helping manage our clients’ (e.g., Investment Advisers, Funds, & Broker-Dealers) compliance tasks and compliance programs;
• Supporting mock regulatory examinations and compliance program reviews
• Assisting with policy and procedure reviews;
• Help with drafting and overseeing the preparation of reports and manuals that promote compliance with regulatory requirements;
• Assist in completing and reviewing compliance and due diligence questionnaires;
• Compile and prepare required data and reporting information for various regulatory filings (e.g., Forms 13F, ADV, etc.);
• Providing compliance assistance and advice to clients;
• Manage and support assigned client relationships, including addressing and/or ensuring that questions and needs have been addressed;
• Additional duties may entail participation in team projects and assisting with initiatives designed to streamline firm policies and procedures.

Character: Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.

Education & Experience:

• Bachelor's degree required
• Working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940)
• Series 7, 24 a Plus
• Strong written and oral communication skills, detail oriented
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work independently, multi-task, and prioritize effectively
• Must be detail-oriented and function with a high degree of accuracy
• Proficient in MS Office applications (Outlook, Word, Excel, Power Point, Teams)

Who We Are:

Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned delivering Clients end to end solutions that they can trust.

Since 2004, we have been providing tailored and customized end-to-end solutions to Advisers, Funds and Broker Dealers:

• Outsourced CCO
• CCO Support
• Advertising and Marketing Review
• Mock SEC/FINRA Exams
• Registered Representative Licensing
• Principal Underwriter for Registered Funds

Our Clients include: Private Equity, Hedge Funds, Closed End Funds, Private Credit/Structured Credit, ETFs, Mutual Funds, Wealth Managers, SMAs, Real Estate Funds, Infrastructure Funds, Registered Investment Advisers (RIAs) and Broker Dealers.