Top 12 Compliance officer Jobs in 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
13d
Chief Ethics and Compliance Officer
Naval Nuclear Laboratory —West Mifflin, PA
- $193,800 - $314,900 a year
- Word processing
- Computer literacy
- Pass drug screening
- Wellness program
- Paid parental leave
7d
Deputy Chief Compliance Officer
Glenmede Trust Co —Philadelphia, PA
- Full-time
- Hybrid work
- Office
- 8 years
- Bachelor's degree
- Commuter assistance
- Health savings account
Director of Compliance
EVERENCE SERVICES, —Lancaster, PA
- Full-time
- 5 years
- Office
- Finance
Quick Apply
Vice President, Chief Compliance Lead, Americas
Zoll Medical Corporation —Pittsburgh, PA
- $320,000 - $380,000 a year
- Analysis skills
- Organizational skills
- Training & development
6d
Chief Deputy City Solicitor – Compliance and Legislation Group – Compliance Unit
City of Philadelphia —Philadelphia, PA
- $144,482 - $170,637 a year
- Email
- HIPAA
- Organizational skills
- Senior level
- Wellness program
- Paid parental leave
Quick Apply
20h
Deputy Chief Compliance Officer
Kaztronix —United States
- 11+ years
- Office
- Bachelor's degree
Quick Apply

More jobs to discover

Find similar jobs that you might be interested in.

Chief Ethics and Compliance Officer
Naval Nuclear Laboratory —West Mifflin, PA
Bachelor’s degree from an accredited college or university in a related technical, engineering or science field and previous experience managing managers or…
$193,800 - $314,900 a year
7d
Chief Compliance Officer
Forefront Analytics —West Conshohocken, PA
Report regularly to management on compliance gaps and partner with leadership to develop appropriate strategies to address business needs.
$95,000 - $105,000 a year
Quick Apply
13d

Show more similar jobs

Explore jobs in cities nearby

Check out jobs in cities near your current location, Columbus

Deputy Chief Compliance Officer
Kaztronix —United States
Leverage knowledge of industry guidance, laws, codes and best practices to direct the design, implementation, and evolution of a comprehensive US Compliance…
Quick Apply

I want to receive the latest job alert for compliance officer in 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 officer jobs near pa

Chief Compliance Officer jobs in Philadelphia, PA

Director Of Compliance jobs in Lancaster, PA

Vice President Of Compliance jobs in Pittsburgh, PA

Solicitor jobs in Philadelphia, PA

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

Director Of Compliance jobs in Boston, MA

Director Of Compliance jobs in Missouri

Director Of Finance jobs in Denver, CO

Director Of Compliance jobs in Iowa City, IA

Director Of Compliance jobs in Knoxville, TN

Food Beverage Director jobs in Phoenix, AZ

Vice President Of Compliance jobs in San Francisco, CA

Vice President Of Compliance jobs in Remote

Education Compliance jobs in New York, NY

Vice President Of Compliance jobs in New Jersey

Vice President Of Compliance jobs in Jersey City, NJ

Chief Compliance Officer jobs in Phoenix, AZ

Chief Compliance Officer

Forefront Analytics
West Conshohocken, PA

Quick Apply

Job Details

Full-time
$95,000 - $105,000 a year
13 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 officer jobs in pa

Chief Compliance Officer

Chief Ethics and Compliance Officer

Deputy Chief Compliance Officer

Director of Compliance

Vice President, Chief Compliance Lead, Americas

Chief Deputy City Solicitor – Compliance and Legislation Group – Compliance Unit

Deputy Chief Compliance Officer

More jobs to discover

Explore jobs in cities nearby

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

Explore jobs in more locations

Job Seeker Tools

Employer Tools

Browse

Stay Connected