Compliance Director
2 weeks ago
Vigilant LLC is seeking a highly skilled Compliance Director to support the administration of Compliance for clients. The ideal candidate will have a strong background in investment company act experience, adviser, fund CCO experience, and series 7, 24 a plus certifications.
Key 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.
Requirements:
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
About Vigilant LLC:
Vigilant LLC 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. 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.
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