Vigilant · 9 hours ago

Outsourced Chief Compliance Officer (RIAs/Funds/BDs)

Chadds Ford, PA

Full-time

Remote

Director/Executive

3+ years exp

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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

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Investment Company Act ExperienceAdviser CCO ExperienceFund CCO ExperienceCompliance ExperienceSeries 7Series 24Microsoft Office