Compliance Director for RIAs, Funds & BDs

Vigilant Compliance; Philadelphia (Philadelphia County); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

Paid holidays

Vacation days

401k with match

Additional benefits

Job summary

Vigilant Compliance, based in Chadds Ford, PA, is seeking a Compliance Director to oversee client compliance programs and the department's monitoring activities. The role emphasizes policy development, testing, reporting, and maintaining relationships with sponsors and service providers.

The director will lead risk assessments, review provider policies, and support quarterly/annual reports, with travel as needed.

Qualifications

• Bachelor’s degree required.
• 3+ years of compliance experience.
• Series 7, 24 a Plus.
• Strong written and oral communication skills.
• Detail oriented; proficient in MS Office.

Responsibilities

• Assist with the implementation, execution, and management of the Compliance Department's activities, specifically monitoring and oversight.
• Conduct compliance testing and reviews, and produce reports thereon.
• Ensure that business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
• Lead ongoing risk assessments of compliance policies and procedures.
• Assess the adequacy of service providers' compliance policies and procedures, and summarize.
• Track service providers' compliance policies and procedures and summarize.
• Support the preparation of quarterly and annual compliance reports.
• Support examinations and respond as necessary to client inquiries.
• Establish and maintain effective relationships with business partners and service providers.
• Performs other duties as required.
• Some travel involved.

Skills

Compliance leadership

Regulatory knowledge

Testing & oversight

Education

Bachelor's degree

Certifications (Series 7/24 a Plus)

Tools

MS Office

Job description

Vigilant Compliance, based in Chadds Ford, PA, is seeking a Compliance Director to oversee client compliance programs and the department's monitoring activities. The role emphasizes policy development, testing, reporting, and maintaining relationships with sponsors and service providers.

The director will lead risk assessments, review provider policies, and support quarterly/annual reports, with travel as needed.