Investment Compliance Associate

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

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,