Outsourced Compliance Director for RIAs & Funds

Vigilant Compliance; Chadds Ford (Delaware County); On-site; USD 100,000 - 130,000; Full time

Benefits offered by this job

401k with match

Paid holidays

Vacation days

Competitive salary

Job summary

A leading compliance firm in Chadds Ford is seeking a Compliance Director. This role involves overseeing compliance activities for clients, conducting compliance tests, and maintaining regulatory standards. Candidates should have at least 3 years of compliance experience, ideally with a bachelor's degree and Series 7 or 24 certifications. This position offers a competitive salary and additional benefits, including paid holidays and a 401k match.

Qualifications

• Minimum 3 years of experience in compliance.
• Series 7 and 24 certifications are a plus.
• Detail-oriented with strong written and oral communication skills.

Responsibilities

• Assist with compliance department activities.
• Conduct compliance testing and reviews.
• Prepare and review policies and training materials.
• Lead risk assessments of compliance policies.
• Maintain relationships with business partners.
• Support compliance reports and examinations.
• Travel may be required.

Skills

Investment Company Act Experience

Compliance Testing

Strong communication skills

Microsoft Office

Education

Bachelor's degree

Job description

A leading compliance firm in Chadds Ford is seeking a Compliance Director. This role involves overseeing compliance activities for clients, conducting compliance tests, and maintaining regulatory standards. Candidates should have at least 3 years of compliance experience, ideally with a bachelor's degree and Series 7 or 24 certifications. This position offers a competitive salary and additional benefits, including paid holidays and a 401k match.