Compliance Director
1 month ago
We are seeking a highly skilled Compliance Director to join our team at Vigilant Compliance. As a Compliance Director, you will be responsible for supporting the administration of Compliance for our clients.
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.
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.
- Performs other duties as required.
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
We offer a competitive salary, based on experience, as well as paid holidays, vacation days, 401k with a match, and additional benefits.
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