Compliance Director

2 weeks ago


Glen Mills, Pennsylvania, United States Juno Search Partners - Open Positions Full time
Job Summary

We are seeking a seasoned Compliance Director to lead our compliance efforts. As an outsourced Chief Compliance Officer, you will support the administration of compliance for our clients, including Registered Investment Advisors, Funds, and Broker Dealers.

Key Responsibilities
  • Conduct compliance testing and reviews, and produce reports thereon.
  • Lead ongoing risk assessments of compliance policies and procedures.
  • Support the preparation of quarterly and annual compliance reports.
  • Assist with the implementation, execution, and management of the Compliance Department's activities, specifically monitoring and oversight.
  • Ensure that business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
  • Establish and maintain effective relationships with business partners and service providers.
  • Track service providers' compliance policies and procedures and summarize.
  • Assess the adequacy of service providers' compliance policies and procedures and summarize.
  • Support examinations and respond as necessary to client inquiries.
  • Perform other duties as required.
  • Some travel involved.
Requirements
  • Bachelor's degree required.
  • 4-7+ years of related Compliance experience.
  • Minimum 3 years of experience with Investment Company Act Experience required.
  • Fund CCO Experience.
  • Series 7, 24 preferred.
  • Detail-oriented with strong written and oral communication skills.
  • Working knowledge of Microsoft Office, Word, Excel, and PowerPoint.

Juno Search Partners - Open Positions is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state or local law.


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