Compliance Director for RIAs & Funds (Outsourced CCO)

Vigilant Compliance; Philadelphia (Philadelphia County); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Competitive salary based on experience

Paid holidays

Vacation days

401k with match

Additional benefits

Job summary

Vigilant Compliance in Chadds Ford, PA seeks a Compliance Director to lead the administration of compliance programs for RIAs, funds and broker-dealers. The role emphasizes monitoring, testing, policy development, and training across client engagements.

Ideal candidates have 3+ years Investment Company Act experience; Series 7 and 24 are a plus. Strong written and verbal communication, and MS Office proficiency are required. Some travel is involved.

Qualifications

• Bachelor's degree required.
• 3+ years Compliance Experience.
• Series 7, 24 a Plus.
• Strong written and oral communication skills, detail oriented.
• Working knowledge of Microsoft Office Word, Excel, and PowerPoint.

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

Written and verbal communication

Education

Bachelor's degree

3+ years Compliance Experience

Series 7, 24 a Plus

Tools

Microsoft Office (Word, Excel, PowerPoint)

Job description

Vigilant Compliance in Chadds Ford, PA seeks a Compliance Director to lead the administration of compliance programs for RIAs, funds and broker-dealers. The role emphasizes monitoring, testing, policy development, and training across client engagements.

Ideal candidates have 3+ years Investment Company Act experience; Series 7 and 24 are a plus. Strong written and verbal communication, and MS Office proficiency are required. Some travel is involved.