A growing investment management firm is seeking a Compliance Associate to support its Chief Compliance Officer and broader compliance program.
Key Responsibilities:
- Monitor and test compliance with the Investment Advisers Act
- Maintain compliance policies, procedures, and records
- Review marketing materials, communications, and account activity
- Administer the Code of Ethics and personal trading program
- Prepare regulatory filings, including Form ADV
- Support SEC examinations and internal audits
Requirements:
- 5+ years of compliance experience within an RIA, broker-dealer, or similar regulated financial institution
- Strong knowledge of the Investment Advisers Act of 1940
- Experience with the Marketing Rule, custody, books & records, and Form ADV
- Strong communication, judgment, and attention to detail
- Ability to work independently and take ownership of compliance initiatives
Compliance Associate in Baltimore at Alexander Chapman
This position is listed as full time and onsite. It was posted 4 days ago.