Our client, a wealth management firm in Hunt Valley, MD, is currently seeking a Chief Compliance Officer to join their growing team. The incumbent will report to the Chief operating Officer and will be responsible for developing and owning the firm's compliance program.
Maximise your chances of a successful application to this job by ensuring your CV and skills are a good match.
Responsibilities
- Advise leadership on regulatory risk, and report on testing results, exam findings, and open issues
- Lead the firm's response to SEC examinations, regulator inquiries, and internal audits
- Ensure compliance with the Marketing Rule, custody rule, Regulation S-P, Form ADV and Form CRS
- Review marketing materials, social media, and client communications
- Prepare and file Form ADV amendments, Form CRS, state registrations, and other regulatory filings
- Conduct due diligence on vendors and manage relationships with outside counsel and compliance consultants
Qualifications
- 10+ years of experience xhqgsiq as a compliance professional with an SEC-registered investment adviser
- Experience leading or supporting an SEC examination
- Working knowledge of the Investment Advisers Act of 1940
- Bachelor's degree required
- Series 65 or 66 preferred
- Juris Doctorate is a plus
Chief Compliance Officer in cockeysville at Unknown Company
This position is listed as full time and onsite.