Outsourced Chief Compliance Officer
3 weeks ago
Date: December 17, 2024
Primary Location: 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317
Company: Vigilant Compliance
Work Expectation: Remote
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.
Competencies:
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
- Outsourced CFO/PFO
- CCO Support
- Advertising and Marketing Review
- Mock SEC/FINRA Exams
- SEC/ERA/Broker Dealer Registration
- Registered Representative Licensing
- Principal Underwriter for Registered Funds
- FinOp
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.
-
Chief Technology Strategist
2 weeks ago
Chadds Ford, Pennsylvania, United States Inspiroz Full timeJob DescriptionWe are seeking a highly skilled Chief Technology Strategist to lead our technology initiatives and drive transformational outcomes for charter schools. This role will be responsible for developing and implementing long-term IT roadmaps, managing client satisfaction, and ensuring the security and compliance of our IT solutions.The ideal...
-
Network Administrator
4 months ago
Chadds Ford, United States TEKsystems Full timeJob DescriptionJob DescriptionDescription:- Manages security solutions, including firewall, anti-virus, and intrusion detection systems.- Manages all network hardware and equipment, including routers, switches, hubs, and UPSs.- Ensures network connectivity of all workstations, servers, and peripherals.- Administers all equipment, hardware, and software...
-
CHIEF OF POLICE
2 days ago
Rocky Ford, United States CITY OF ROCKY FORD Full timeDUTIES:* Researches, develops, promulgates, implements, and evaluatesdepartmental policies and procedures required to achieve the objectives of thedepartment and the needs of the community in a safe, efficient, andeffective manner in accordance with federal and state statutes and Cityordinance* Coordinates and administers daily police activities.* Prepares...
-
Order and Customer Experience Specialist
4 months ago
Chadds Ford, United States Demant Full timeOverview: The Orders and Customer Experience Specialist shall primarily be responsible for entering orders placed through CQ Partners from our member practices for products from all associated manufacturers. The Orders and Customer Experience Specialist shall also be involved in other activities involving orders. These activities will include order...
-
Project Accountant
4 weeks ago
Chadds Ford, United States ARORA ENGINEERS Full timeJob DetailsJob LocationAEI - Chadds Ford - [7CFD] - Chadds Ford, PADescriptionOverall Responsibility: The Project Accountant is responsible for managing a high volume of invoice transactions and ensuring the integrity and accuracy of the accounts receivable process. This includes timely and accurate billing, effective collections, and maintaining the...
-
Credit Management Senior Analyst
1 day ago
Chadds Ford, United States Bread Financial Full timeEvery career journey is personal. That's why we empower you with the tools and support to create your own success story.Be challenged. Be heard. Be valued. Be you ... be here.Job SummaryThe Credit Management Department plays a crucial role in facilitating profitable growth by managing the risk/reward tradeoff for various credit decisions throughout the...
-
BIS AI
14 hours ago
Chadds Ford, United States Incyte Full timeOverviewIncyte is a biopharmaceutical company focused on the discovery, development, and commercialization of novel medicines to meet serious unmet medical needs in oncology and inflammation and autoimmunity. Incyte is committed to the rigorous pursuit of research and development excellence to improve the lives of patients, make a difference in health care,...
-
Lead Payroll Specialist
3 months ago
Ford, United States Jobot Full timeJob DescriptionJob DescriptionGreat Benefits/ Amazing Culture/ $$$This Jobot Job is hosted by: Billy MewtonAre you a fit? Easy Apply now by clicking the "Apply Now" buttonand sending us your resume.Salary: $55,000 - $75,000 per yearA bit about us:Our client, a leading company in the energy sector, is seeking an experienced Payroll Specialist to manage and...
-
Lead Payroll Specialist
2 days ago
Ford, United States Jobot Full timeGreat Benefits/ Amazing Culture/ $$$This Jobot Job is hosted by: Billy MewtonAre you a fit? Easy Apply now by clicking the "Apply" button and sending us your resume.Salary: $55,000 - $75,000 per yearA bit about us:Our client, a leading company in the energy sector, is seeking an experienced Payroll Specialist to manage and oversee payroll functions. This...
-
Lead Payroll Specialist
17 hours ago
Ford, United States Jobot Full timeGreat Benefits/ Amazing Culture/ $$$This Jobot Job is hosted by: Billy MewtonAre you a fit? Easy Apply now by clicking the "Apply" button and sending us your resume.Salary: $55,000 - $75,000 per yearA bit about us:Our client, a leading company in the energy sector, is seeking an experienced Payroll Specialist to manage and oversee payroll functions. This...
-
Senior Nuclear Emergency Planner
2 days ago
Ford Island, United States Strategic Technology Institute, Inc Full timeJob DescriptionJob DescriptionJob Title: Senior Emergency Planner (Emergency Management Specialist)Location: Commander, Submarine Force, Pacific Fleet (COMSUBPAC) at Pearl Harbor Naval Shipyard, [Pearl Harbor, HI] (On-site)Employment Type: Full-TimeClearance Required (if applicable): SECRETAbout the RoleStrategic Technology Institute, Inc. (STi) is seeking a...
-
Radiologic Imaging Specialist
1 month ago
Blacks Ford, United States The Center for Orthopedic and Research E Full timeCompany Overview:The Center for Orthopedic and Research Excellence is a regional leader in orthopedic medicine, dedicated to providing industry-leading five-star care to patients. Established in 2001, we continue to grow and expand our services to meet the needs of our community.Estimated Salary:$55,000 - $65,000 per year, depending on experienceJob...
-
Orthopedic Imaging Supervisor
4 weeks ago
Blacks Ford, United States The Center for Orthopedic and Research E Full timeCompany Overview:Southeast Orthopedic Specialists is a leading provider of orthopedic care in the region. With over two decades of experience, we have established ourselves as a trusted partner for patients seeking high-quality medical services.Compensation: The estimated salary range for this position is $65,000 - $90,000 per annum, depending on experience...
-
Radiologic Technologist, Supervisor
3 days ago
Blacks Ford, United States The Center for Orthopedic and Research E Part timeJob DescriptionJob DescriptionEstablished in 2001, Southeast Orthopedic Specialists is a regional leader in orthopedic medicine. We are dedicated to growing with our patients. Our reach will continue to expand to meet the needs of all patients, present and future. It is our wish to make industry-leading five-star orthopedic care accessible to as many people...
-
Business Development Director
2 weeks ago
Blacks Ford, United States Fiber Mortgage LLC Recruiting Full timeJob Summary:The Branch Manager role at Fiber Mortgage LLC Recruiting is a key position responsible for overseeing the day-to-day operations, profitability, and performance of our residential mortgage lending branch. This leadership position involves guiding a team of loan officers and support staff, ensuring regulatory compliance, and driving branch sales to...
-
Pet Enclosure Manager
2 weeks ago
Blacks Ford, United States Sunland Acres Full timeAbout Sunland AcresWe are a leading provider of animal care services, dedicated to providing exceptional care and attention to detail. Our team of experienced professionals is passionate about delivering outstanding results and exceeding customer expectations.Job Summary:This is an exciting opportunity for a motivated and compassionate individual to join our...
-
CNA - Certified Nursing Assistant
3 months ago
Rocky Ford, United States Pioneer Health Care Center Full time_*We are looking for individuals that want to join a local skilled nursing facility. If you want to be a part of a team that promotes collaboration and teamwork; if you are passionate about patient/resident centered care: Compassion, attentiveness, engagement, and environment; if you take pride in your work and want recognition for a job well done…this is...
-
CNA - Certified Nursing Assistant
1 week ago
Rocky Ford, United States Pioneer Health Care Center Full time_*We are looking for individuals that want to join a local skilled nursing facility. If you want to be a part of a team that promotes collaboration and teamwork; if you are passionate about patient/resident centered care: Compassion, attentiveness, engagement, and environment; if you take pride in your work and want recognition for a job well done…this is...
-
CNA - Certified Nursing Assistant
3 months ago
Rocky Ford, United States Pioneer Health Care Center Full time_*We are looking for individuals that want to join a local skilled nursing facility. If you want to be a part of a team that promotes collaboration and teamwork; if you are passionate about patient/resident centered care: Compassion, attentiveness, engagement, and environment; if you take pride in your work and want recognition for a job well done…this is...
-
CNA - Certified Nursing Assistant
4 weeks ago
Rocky Ford, United States Pioneer Health Care Center Full time_*We are looking for individuals that want to join a local skilled nursing facility. If you want to be a part of a team that promotes collaboration and teamwork; if you are passionate about patient/resident centered care: Compassion, attentiveness, engagement, and environment; if you take pride in your work and want recognition for a job well done…this is...