Outsourced Chief Compliance Officer (RIAs/Funds/BDs)

Vigilant Compliance; Philadelphia (Philadelphia County); In loco; USD 120.000 - 160.000; Tempo pieno

Vantaggi offerti da questo lavoro

Paid holidays

Vacation days

401k with match

Additional benefits

Descrizione del lavoro

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.

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Compliance leadership

Regulatory knowledge

Testing & oversight

Formazione

Bachelor's degree

Certifications (Series 7/24 a Plus)

Strumenti

MS Office

Descrizione del lavoro

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:

We are seeking a Compliance Director. The Director will be responsible for supporting in the administration of Compliance for clients.

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:

• 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.

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
• 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

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.