Outsourced Chief Compliance Officer

3 weeks ago


Chadds Ford, United States Vigilant Full time

Date: August 20, 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.



  • Chadds Ford, United States Vigilant Full time

    Date: September 5, 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...


  • chadds ford, United States Vigilant Full time

    Date: September 5, 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...


  • chadds ford, United States Vigilant Full time

    Date: September 5, 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...


  • Chadds Ford, United States Vigilant Full time

    Date: September 5, 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...

  • Executive Assistant

    13 hours ago


    Chadds Ford, Pennsylvania, United States TAGHLEEF INDUSTRIES Full time

    Job SummaryWe are seeking a highly skilled and experienced Executive Assistant to provide comprehensive administrative support to our Chief Operating Officers (COOs) and other senior executives. The ideal candidate will possess exceptional organizational skills, a proactive approach, and the ability to handle confidential information with discretion.Key...


  • Chadds Ford, Pennsylvania, United States Incyte Full time

    Overview Incyte is a biopharmaceutical organization dedicated to the innovation, development, and commercialization of groundbreaking therapies aimed at addressing significant unmet medical needs in oncology, inflammation, and autoimmunity. Our commitment lies in the relentless pursuit of excellence in research and development to enhance patient...


  • Chadds Ford, Pennsylvania, United States Incyte Full time

    OverviewIncyte is a biopharmaceutical organization dedicated to the discovery, development, and commercialization of innovative therapies aimed at addressing significant unmet medical needs in oncology, inflammation, and autoimmunity. The company is committed to excellence in research and development to enhance patient outcomes, influence healthcare...


  • Chadds Ford, Pennsylvania, United States Incyte Full time

    OverviewIncyte is a leading biopharmaceutical organization dedicated to the discovery, development, and commercialization of innovative therapies aimed at addressing significant unmet medical needs in the fields of oncology, inflammation, and autoimmunity. Our commitment to excellence in research and development is fundamental to enhancing patient outcomes,...


  • Chadds Ford, United States Demant Full time

    Overview: 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...


  • Chadds Ford, United States Demant Full time

    Overview: 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...


  • Chadds Ford, United States Demant Full time

    Overview: 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...


  • Chadds Ford, United States Demant Full time

    Overview 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...

  • AD Forecasting

    3 weeks ago


    Chadds Ford, United States Incyte Full time

    Overview Incyte 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...


  • Rocky Ford, Georgia, United States Radius Staffing Solutions Full time

    Job SummaryWe are seeking an experienced RN Manager to oversee the Birthing Center at our client's facility located in Colorado. The successful candidate will be responsible for leading a team of nurses and ensuring the delivery of high-quality patient care.Key ResponsibilitiesLead and manage a team of nurses to ensure the delivery of high-quality patient...


  • Chadds Ford, Pennsylvania, United States Bowman Consulting Group, Ltd. Full time

    Short Overview:Bowman Consulting Group, Ltd. is seeking a Senior Structural Engineer specializing in Marine Infrastructure to join our dynamic team. This role offers the opportunity to work on diverse projects related to ports and harbors, contributing to innovative engineering solutions.At Bowman, we prioritize the growth and success of our team members,...

  • Team Leader for Ports

    2 weeks ago


    Chadds Ford, Pennsylvania, United States Bowman Consulting Group, Ltd. Full time

    Short Description:Bowman Consulting Group, Ltd. is seeking a dedicated Team Leader for our Ports & Harbors division. This role offers the flexibility to work from various locations across the United States.At Bowman, we are committed to fostering an environment where talented individuals can flourish and reach their professional aspirations. A career with us...


  • Ford Island, United States Defense Information Systems Agency Full time

    Participates in technical exchanges with a wide variety of DoD organizations, commercial contractors and other individuals in the development and assessment where incidents require crisis planning and action. Creates, reviews, and deploys signatures based on the SNORT, Suricata, and Yara rule detection sets. Configures and applies sensor policies and updates...


  • Rocky Ford, United States Radius Staffing Solutions Full time

    Our client located near Rocky Ford, Colorado is seeking an experience RN Manager to oversee Operating Room/Surgical Services. Reports to the Chief Clinical Officer. This is with a small critical access facility. Minimum of 5+ years of recent OR/Surgical Services Nursing experience is required. Prior leadership experience is preferred. Job Responsibilities of...


  • FORD, United States Sunflower Health Plan Full time

    You could be the one who changes everything for our 28 million members. Centene is transforming the health of our communities, one person at a time. As a diversified, national organization, you’ll have access to competitive benefits including a fresh perspective on workplace flexibility. Position Purpose: Develops, assesses, and coordinates care management...


  • ford, United States Sunflower Health Plan Full time

    You could be the one who changes everything for our 28 million members. Centene is transforming the health of our communities, one person at a time. As a diversified, national organization, you’ll have access to competitive benefits including a fresh perspective on workplace flexibility. Position Purpose: Assists in developing, assessing, and coordinating...