Vigilant Compliance, LLC was established on August 15, 2004. Vigilant is a full service Global Compliance Firm providing outsourced compliance services to a diversified range of investment management clients. Vigilant’s Compliance Staff is responsible for designing, implementing, and maintaining an effective compliance program for a diverse range of investment management clients; including but not limited to, SEC Registered Investment Advisers, Private Fund Advisers, Advisers of Separately Managed Accounts, Registered Investment Companies, and Broker/Dealers. The Compliance staff primarily oversees compliance with federal, state, and foreign securities relations, and with client mandates. The Compliance Staff also oversees service providers including, principal underwriters, administrators, transfer agents, custodians, consultants, and others.
Vigilant is seeking an Intern in its Chadds Ford, PA Office. The Intern will responsible for supporting Vigilant’s Senior Management in the administration of the Vigilant’s Compliance Program.
The duties of the Intern will include the following:
- Assist with the implementation, execution, and management of the Compliance Department’s activities, specifically monitoring and oversight.
- Conduct daily compliance testing and reviews, and produce detailed reports ensuring all findings are clearly documented with supporting evidence.
- Research and summarize new rules and regulations and document applicable controls and potential gaps. Support compliance initiatives to ensure controls are adequately documented.
- 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 to the Board.
- Coordinate annual and periodic regulatory filings such as Forms ADV and PF.
- Support regulatory and/or internal examinations and respond as necessary to client inquiries.
- Establish and maintain effective relationships with business partners and service providers.
- Performs other duties as required.
Character: Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.
- Strong written and oral communication skills, detail oriented.
Working knowledge of Microsoft Office Word, Excel, and PowerPoint