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Outsourced Chief Compliance Officer

4 months ago

Chadds Ford, United States Vigilant Full time

Date: May 29, 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"), 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)
  • 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 was established on August 15, 2004. Vigilant, is more than just a Compliance Firm, we are an Investment Management Solutions Firm focusing on servicing the Regulatory needs of a broad range of Investment Management Clients. Vigilant delivers clients end to end solutions that they can trust. Vigilant’s core competencies include Compliance Solutions for Mutual Funds, ETFs, Investment Advisers, and Broker Dealers, Principal Underwriting Solutions, Distribution Solutions, Outsourcing Solutions, Investment Management Consulting Solutions, and Cybersecurity Solutions.

 

For the past 19 years, Vigilant has been a leading Regulatory Compliance consulting firm- uniting Regulatory Compliance, Legal, and Financial Expertise.

 

Vigilant is currently serving as CCO and providing CCO Support Services for Multi-Billion dollar Funds and Advisers. Our Clients include Registered Investment Companies, Federally Registered Investment Advisers, Business Development Companies, Broker-Dealers and Private Equity Advisers.

 

Vigilant is experienced within a wide range of Investment Products, including ETFs, Mutual Funds, Large, Mid, Small, SMid Equity products, Long-Short Funds, Research Funds, Value, Growth, and Core Products, International and Funds, Bond Funds, REITs, and a variety of Fixed Income Products.

skills