Vigilant Compliance · 12 hours ago
Outsourced Chief Compliance Officer (RIAs/Funds/BDs)
Chadds Ford, PA
Full-time
Onsite
Mid, Senior Level
3+ years expVigilant Compliance is an Award Winning and Industry Leading Compliance Firm that provides tailored solutions to clients in the financial services sector. They are seeking a Compliance Director responsible for overseeing compliance activities for clients, conducting compliance testing, and ensuring adherence to regulatory requirements.
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
Required
Investment Company Act Experience Required (Minimum 3 Years)
Adviser, Fund CCO Experience
Bachelor's degree required
3+ years Compliance Experience
Strong written and oral communication skills, detail oriented
Working knowledge of Microsoft Office Word, Excel, and PowerPoint
Preferred
Series 7, 24 a Plus
Benefits
Paid holidays
Vacation days
401k with a match
Additional benefits
Company
Vigilant Compliance
Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase