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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