Outsourced Chief Compliance Officer (RIAs/Funds/BDs)

Vigilant Compliance; Philadelphia (Philadelphia County); On-site; USD 90,000 - 150,000; 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, seeks a Compliance Director to oversee and administer compliance for clients including RIAs, funds, and broker-dealers. The role involves implementing, testing, and overseeing policies; preparing training materials and reports; and conducting risk assessments. Occasional travel is required.

Strong regulatory knowledge and communications skills are essential. We offer competitive salary based on experience, paid holidays, vacation, 401k with match,

Qualifications

• Bachelor's degree required.
• 3+ years Compliance Experience.
• Series 7, 24 a Plus.
• Strong written and oral communication skills, detail oriented.

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

Communication skills

Detail oriented

Education

Bachelor's degree

Series 7, 24

Tools

MS Office

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:

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.