Top 5 Compliance Officers Jobs in Philadelphia, 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
11d
Deputy Chief Compliance Officer
Glenmede Trust Co —Philadelphia, PA
- Full-time
- Hybrid work
- Office
- 8 years
- Bachelor's degree
- Commuter assistance
- Health savings account
Senior Director Compliance and Legal Services
AstraZeneca —Wilmington, DE
- $183,342.40 - $275,013.60 a year
- Overtime
- Oracle
- Finance
- Bachelor's degree
- Paid holidays
- Health insurance

More jobs to discover

Find similar jobs that you might be interested in.

Deputy Chief Compliance Officer
Glenmede Trust Co —Philadelphia, PA
No agencies, third parties, or phone calls, please. Serve as a senior advisor on regulatory interpretation, risk assessment, and control design.
Emergency Management - Safety Officer
SEPTA —Philadelphia, PA
Must possess a valid driver’s license. Reviews state and federal guidelines and procedures related to preparedness and exercise design and implementation to…
$82,342 - $102,908 a year

I want to receive the latest job alert for Compliance Officers in Philadelphia, PA

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

Compliance Officers jobs near Philadelphia, PA

Chief Compliance Officer jobs in Philadelphia, PA

Director Of Compliance jobs in Wilmington, DE

Chief Compliance Officer jobs in Tacoma, WA

Chief Compliance Officer jobs in Baltimore, MD

Chief Compliance Officer jobs in Denver, CO

Remote Compliance jobs in Pittsburgh, PA

Chief Compliance Officer jobs in Virginia

Colorado Cannabis Compliance jobs in Colorado

Compliance jobs in Colorado Springs, CO

Unarmed Security Officer jobs in Tampa, FL

Chief Compliance Officer jobs in Utah

Chief Compliance Officer jobs in Tampa, FL

Bank Compliance Jobs jobs in Los Angeles, CA

Director Of Compliance jobs in Ashburn, VA

Remote Medical Director jobs in Georgia

Compliance jobs in San Francisco Bay Area, CA

Director Of Compliance jobs in Colorado Springs, CO

Director Of Compliance jobs in Snoqualmie, WA

Trade Compliance jobs in Remote

Chief Compliance Officer

Forefront Analytics
West Conshohocken, PA

Quick Apply

Job Details

Full-time
$95,000 - $105,000 a year
11 days ago

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 Officers jobs in Philadelphia, PA

Chief Compliance Officer

Deputy Chief Compliance Officer

Senior Director Compliance and Legal Services

More jobs to discover

I want to receive the latest job alert for Compliance Officers in Philadelphia, PA

Explore jobs in more locations

Job Seeker Tools

Employer Tools

Browse

Stay Connected