Job description
Job Description
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.
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 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
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