Chief Compliance Officer Job at Alexander Chapman, Baltimore County, MD

  • Alexander Chapman
  • Baltimore County, MD

Job Description

Chief Compliance Officer

A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership.

Responsibilities:

  • Own the firm's compliance program and policies.
  • Lead SEC examinations, regulatory inquiries, and annual reviews.
  • Oversee regulatory filings, testing, disclosures, and compliance monitoring.
  • Manage Code of Ethics, marketing compliance, conflicts, and related programs.
  • Advise senior leadership on regulatory risk and compliance matters.
  • Support M&A and continued business growth.

Ideal Background:

  • 10+ years of investment management compliance experience.
  • 5+ years within an SEC-registered RIA.
  • Prior CCO, Deputy CCO, or senior compliance leadership experience.
  • Strong knowledge of the Investment Advisers Act.
  • Experience with SEC examinations.
  • RIA, private wealth, or UHNW experience preferred.

Job Tags

Full time

Similar Jobs

Confidential

Copywriter (Social Media) Job at Confidential

 .... Wellness and Well being programs Your future duties and responsibilities . Develop original, platform native social ideas, content series, campaigns, and culturally relevant content rooted in audience behavior, channel strategy, brand objectives, and business goals... 

  • Atlanta, GA
  • Full Time
  • $56.6k - $159.3k
  • 30+ days ago

Veritas Partners

Chief Compliance Officer Job at Veritas Partners

 ...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... 

  • Cockeysville, MD
  • Full Time
  • 21 days ago

CSpring

Business Data Analyst - Medicaid Job at CSpring

Fully Remote Springfield, ILDescriptionAt CSpring, we believe in the power of data to drive decisions and real-world impact. Were a purpose-driven consulting firm specializing...  ...them.Share use cases with data and quality analysts for profiling, review results, and confirm... 

  • Springfield, IL
  • Full Time
  • 11 days ago

Chronim Delivery and Logistics

Delivery Driver / Courier / Cargo Van REQUIRED - Madison Heights, MI Job at Chronim Delivery and Logistics

Company: Chronim Delivery and LogisticsLocation: Ann Arbor, Ypsilanti, Dexter, Brighton, Monroe, Ottawa Lake (Pickup in Madison Heights, MI)Job Type: Independent ContractorJob DescriptionChronim Delivery and Logistics is seeking dependable Delivery Drivers to join our... 

  • Madison Heights, MI
  • Full Time
  • $200 - $400 per day
  • 19 days ago

talent4health

Travel Licensed Master Social Worker (LMSW) - $2,104 per week in Los Angeles, CA Job at talent4health

Licensed Master Social Worker Location: Los Angeles, CA Agency: talent4health Pay: $2,104 per week Shift Information: Days - 3 days x 12 hours Contract Duration: 13 Weeks Start Date: 10/26/2026 About the Position 3 Day Shifts X 12 Hrs...

  • Los Angeles, CA
  • Full Time
  • $2,104 per week
  • 2 days ago
Apply Now
Job Summary
  • Location
    Baltimore County, MD
  • Job Type
    Full Time
  • Date Posted
    2026-10-16
  • Expiration date
    2026-12-14