Top 310 Compliance Jobs in Berwyn Pa

Chief Compliance Officer
Forefront Analytics —West Conshohocken, PA
- $95,000 - $105,000 a year
- Full-time
- Office
- Presentation skills
- Bachelor's degree
- Health insurance
- Dental insurance
Quick Apply
Director of Fiscal Compliance
Philadelphia Works Inc —Philadelphia, PA
- $108,000 - $115,000 a year
- Full-time
- CPA
- 5 years
- ERP systems
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10d
Supply Chain Purchasing Compliance Specialist (Camden, NJ)
Can-Am Consultants —Camden, NJ
- $50 - $70 an hour
- Full-time
- Office
- Analysis skills
- Bachelor's degree
- Health savings account
- Paid holidays
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Compliance Analyst
Lincoln Financial —Radnor, PA
- $72,900 - $131,600 a year
- Online Application
- Hybrid work
- Mid-level
- Office
- 3 years
- Tuition reimbursement
- Paid time off
12d
Remote Retirement Plan Compliance Analyst
Ascensus —Philadelphia, PA
- $65,000 - $95,000 a year
- Online Application
- Remote
- Microsoft Outlook
- Mid-level
- 3 years
- Health insurance
- Dental insurance
Documentation Manager – Compliance
Devereux —Berwyn, PA
- Full-time
- Customer service
- Word processing
- Pass drug screening
- 403(b) matching
- Loan repayment program
Compliance Specialist - IACUC/IBC
Villanova University —Villanova, PA
- $57,200 - $71,500 a year
- Full-time
- Mid-level
- University
- Bachelor's degree
- Tuition reimbursement
- Paid time off
Environmental Compliance Consultant
WSP —Exton, PA
- 7 years
- Bachelor of Science
- Office
- Disability insurance
- Health insurance
5d
Clinical Compliance Coordinator
Villanova University —Villanova, PA
- $27.58 - $29.12 an hour
- Part-time
- Background check
- Nursing
- Bachelor of Science
Security Analyst I – Identity & Access Management (IAM) & Compliance
Essential Utilities, Inc. —Bryn Mawr, PA
- Full-time
- Computer science
- Computer Science
- Mid-level
- Opportunities for advancement
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14d
Specialist, Risk and Compliance Services (Personal Consultation)
Deloitte —Philadelphia, PA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Word
- Mid-level
- 3 years
Specialist, Risk and Compliance Services (Center of Excellence)
Deloitte —Philadelphia, PA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Outlook
- Research
- Mid-level
9d
Internal Auditor
AMETEK, Inc. —Berwyn, PA
- $60,000 - $80,000 a year
- Hybrid work
- Mid-level
- Office
- Bachelor's degree
Information Assurance Compliance Specialist II
Client Server Software Solutions —Philadelphia, PA
- Full-time
- Computer Science
- Mid-level
- Office
- Continuing education credits
- Commuter assistance
Quick Apply
Sr. Compliance Analyst I(II)
PJM Interconnection, LLC —Audubon, PA
- Full-time
- Customer service
- Bachelor of Science
- Bachelor's degree
Specialist, Risk and Compliance Services (PC)
Deloitte —Philadelphia, PA
- $63,000 - $116,000 a year
- Full-time
- Microsoft Word
- Research
- Mid-level
Haz Comm & Product Compliance Business Partner: Authoring Safety Data Sheets, 3E Software- Remote USA
Saint Gobain —Malvern, PA
- Remote
- Mid-level
- 3 years
- Master's degree
- Wellness program
- Paid parental leave
Quick Apply
14d
Permit Compliance Manager
Veolia —King of Prussia, PA
- $110,000 - $120,000 a year
- Full-time
- Remote
- 5 years
- Bachelor's degree
- Training & development
- Health insurance
- Dental insurance
Quick Apply
Compliance Officer
Bryn Mawr Medical Specialists Association —Bryn Mawr, PA
- $175,000 - $225,000 a year
- Full-time
- Management
- OSHA
- HIPAA
- Paid holidays
- Health insurance
Quick Apply
14d
CIP & Document Quality Control Specialist
Firstrust Bank —Horsham, PA
- Full-time
- Hybrid work
- Microsoft Excel
- Microsoft Outlook
- Customer service
Quick Apply

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compliance jobs near berwyn pa

Chief Compliance Officer

Forefront Analytics
West Conshohocken, PA

Quick Apply

Job Details

Full-time
$95,000 - $105,000 a year

Benefits

Health insurance
Dental insurance
Paid time off
401(k) matching

Qualifications

Teamwork
Interpersonal skills
Experience at asset management companies
Presentation skills
Bachelor's degree
Organizational skills

Full Job Description

Job Description

The Chief Compliance Officer (CCO) is responsible for managing the day-to-day compliance functions for a small investment advisor firm. This hands-on position is responsible for administering the firm’s policies and procedures relating to personal trading, regulatory reporting, investment compliance, and marketing activities. The CCO will serve as the primary point of contact for compliance reviews. The ideal candidate will be highly proactive in staying abreast of regulatory changes and will demonstrate a collaborative approach in partnering with firm leadership to ensure successful administration of the compliance program. The successful candidate will employ outstanding judgment and balance practical business needs with the letter and spirit of the law.

Primary Responsibilities

Oversee compliance for the firm’s investment adviser operations, tracking regulatory developments and requirements.
Partner closely with business leadership to effectively maintain a credible compliance program amid changes in the regulatory landscape.
Ensure effective controls are in place to meet core regulatory requirements.
Provide advice to management regarding how to comply with laws and regulations, as well as monitor basic business unit compliance.
Report regularly to management on compliance gaps and partner with leadership to develop appropriate strategies to address business needs.
Provide compliance training and guidance across the firm.
Supervise the compliance monitoring program and testing related to SEC Rule 206(4)-7.
Actively identify risks and help facilitate practical solutions to mitigate them to acceptable levels.
Draft and update internal compliance policies and procedures as applicable.
Oversee firm-wide education programs, including the annual compliance meeting.
Oversee the firm’s Code of Ethics, including monitoring employees’ personal securities transactions.
Supervise basic investment guideline monitoring.
Ensure prudent compliance oversight of the firm’s primary service providers and vendors.
Assist firm operations in overseeing basic cybersecurity, business continuity, and disaster recovery compliance steps.
Prepare regulatory filings and assist with regulatory exams or inquiries.
Review marketing and sales materials to ensure they conform with standard regulations and policies.

Qualifications and Experience

Minimum of 3 to 5 years of hands-on asset management and compliance experience (scaled down to align with firm size and budget).
Solid fundamental understanding of the Investment Advisers Act of 1940.
Experience participating in or assisting with regulatory examinations.
Familiarity with standard asset management products and services, such as separately managed accounts and model portfolios.
Adept at collaboration with and advising a small team, including senior management.
The ability to identify issues and exercise sound judgment in a fast-paced environment.
Excellent verbal and written communication skills, with comfort presenting directly to firm management.
Strong project management and organizational skills to operate effectively as an individual contributor.
Bachelor’s degree required.

Schedule & Benefits

Schedule: Day shift, Monday to Friday.
Benefits: Health insurance and 401(k) matching.
Supplemental Pay: Bonus pay potential based on firm performance.

Pay: $95,000.00 - $105,000.00 per year

Benefits:

401(k) matching
Dental insurance
Health insurance
Paid time off

Work Location: In person

Quick Apply

Refine Your Search

compliance jobs in berwyn pa

Chief Compliance Officer

Director of Fiscal Compliance

Supply Chain Purchasing Compliance Specialist (Camden, NJ)

Compliance Analyst

Remote Retirement Plan Compliance Analyst

Documentation Manager – Compliance

Compliance Specialist - IACUC/IBC

Environmental Compliance Consultant

Clinical Compliance Coordinator

Security Analyst I – Identity & Access Management (IAM) & Compliance

Specialist, Risk and Compliance Services (Personal Consultation)

Specialist, Risk and Compliance Services (Center of Excellence)

Internal Auditor

Information Assurance Compliance Specialist II

Sr. Compliance Analyst I(II)

Specialist, Risk and Compliance Services (PC)

Haz Comm & Product Compliance Business Partner: Authoring Safety Data Sheets, 3E Software- Remote USA

Permit Compliance Manager

Compliance Officer

CIP & Document Quality Control Specialist

I want to receive the latest job alert for compliance in berwyn pa

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