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

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