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Vigilant Compliance · 1 day ago

Outsourced Chief Compliance Officer (RIAs/Funds/BDs)

Chadds Ford, PA

Full-time

Onsite

Lead/Staff, Director/Executive

3+ years exp

Vigilant Compliance is an award-winning compliance firm based in Chadds Ford, Pennsylvania, specializing in tailored compliance solutions for Registered Investment Advisers, Funds, and Broker Dealers. The Compliance Director will be responsible for overseeing the administration of compliance activities for clients, ensuring adherence to regulatory requirements, and maintaining effective relationships with business partners.

ConsultingFinancial Services

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

Qualification

Investment Company Act ExperienceAdviserFund CCO ExperienceCompliance ExperienceSeries 7Series 24Microsoft OfficeWritten CommunicationOral CommunicationDetail Oriented