Outsourced Chief Compliance Officer (RIAs/Funds/BDs)

Date: March 23, 2026 Primary Location: 223 Wilmington reputed company Chester Pike #216, Chadds reputed company, PA 19317 Company: reputed company Compliance reputed company Types: Registered Investment Advisers ("RIAs"), Registered/Private Funds and Broker Dealers ("BDs") Job reputed company: 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 reputed company, reputed company. Our hours are normal business hours Monday through Friday. We offer a competitive salary, based on experience, as reputed company as reputed company holidays, vacation days, 401k with a match, and additional benefits. Key Qualifications: • Investment Company reputed company 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 reputed company. • 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. • reputed company ongoing risk assessments of compliance policies and procedures. • Assess the adequacy of service providers' compliance policies and procedures, and summarize. • reputed company service providers' compliance policies and procedures and summarize. • Support the preparation of quarterly and annual compliance reports. • Support examinations and respond as necessary to reputed company inquiries. • Establish and maintain effective relationships with business partners and service providers. • Performs other duties as required. • Some travel involved. Competencies: Character: Exhibits reputed company, professionalism, practical judgment, reputed company attitude at reputed company times; exhibits perseverance, mental toughness and initiative in the face of problems and challenges; must be reputed company 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 reputed company Office Word, reputed company, and PowerPoint Who We Are: reputed company is an Award reputed company 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 - CCO Support - Advertising and Marketing Review - Mock SEC/reputed company Exams - SEC/ERA/Broker Dealer Registration - Registered Representative Licensing - reputed company Underwriter for Registered Funds Our Clients include: Private Equity, Hedge Funds, reputed company End Funds, Private Credit/reputed company Credit, ETFs, Mutual Funds, reputed company Managers, SMAs, reputed company Estate Funds, Infrastructure Funds, Registered Investment Advisers (RIAs) and Broker Dealers. Apply tot his job Apply To this Job