Compliance Associate

Position: Compliance Associate

Location: Hunt Valley, MD

About the Opportunity

This role suits someone who has worked inside an RIA compliance function, knows the Investment Advisers Act well, and wants ownership over real programs rather than a narrow slice of one.

Main Responsibilities

Responsibilities include, but are not limited to:

• Monitoring and testing the firm's compliance with the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements.
• Maintaining and updating written supervisory procedures and compliance manual.
• Reviewing client account activity, marketing materials, advertising, and communications for adherence to regulatory requirements.
• Administering the firm's code of ethics program, including personal trading pre-clearance, reporting, and monitoring.
• Preparing and filing regulatory filings, including Form ADV updates and state registrations.
• Supporting the CCO in preparing for and responding to SEC examinations and internal audits.
• Tracking regulatory developments and helping translate new rules into practical firm policy.
• Maintaining the compliance records, logs, and documentation required under the Advisers Act.
• Training employees on compliance policies and escalating issues as they arise.
• Coordinating with outside counsel and compliance consultants as needed.

Qualifications Required

• Five or more years of compliance experience at a registered investment adviser, broker-dealer, or similar regulated financial firm.
• Working knowledge of the Investment Advisers Act of 1940, including the Marketing Rule, custody rule, and books and records requirements.
• Series 65 (or equivalent) preferred. Bachelor's degree in a related field.
• Strong written and verbal communication. You can explain a regulatory requirement clearly to someone outside compliance.
• Sound judgment and attention to detail.
• Comfort working independently and taking ownership of a growing program.