Compliance Officer

Company Overview

Every firm has a culture – the values, beliefs, methodology, attitudes and standards that reflect an organization’s DNA. But the truly inspiring firms – the game-changers, the industry leaders and the disruptors – have cultures that propel them to innovate and stand out. At Brown Advisory, we aim to be one of those inspired firms. Over the years, we have purposefully built and nurtured our client-first culture.

Brown Advisory is an independent investment management and strategic advisory firm committed to delivering a combination of first-class performance, strategic advice and the highest level of client service. The firm’s clients—including individuals, families, family offices, endowments, foundations, charities, institutions, consultants, and financial intermediaries—are served by over 900 colleagues worldwide, all of whom are equity owners of the firm.

Austin | Baltimore | Boston | Delaware | Frankfurt | London | Nashville | New York | North Carolina | San Francisco | Singapore | Southern California | Tokyo | Virginia | Washington, D.C

Brown Advisory is seeking an engaged, detail oriented and self-motivated Compliance Officer to join the firm’s Compliance team. The Compliance Officer will be responsible for administering the firm’s Code of Ethics, reviewing marketing materials and other collateral for compliance with regulatory and policy requirements, supporting the administration and ongoing development of the firm’s compliance testing program, and serving as a source of general compliance advice. The ideal candidate will possess all of the required qualifications, be self-motivated, and reflect ownership over given responsibilities while working under moderate supervision.

This is a full-time position that will be located in our Baltimore office.

The primary duties and responsibilities include but are not limited to:

• Administer the firm’s Code of Ethics compliance program, including personal trading surveillance, gifts & entertainment, certifications & attestations, and new colleague onboarding.
• Execute and assist in the continued development of the firm’s Compliance Testing Program to identify and account for areas of risk.
• Review marketing materials for a range of investment solutions, including mutual funds, UCITS, alternative asset classes (private equity, hedge funds, and real estate investments), fixed income and equity strategies, and sustainable investment solutions in accordance with policy and SEC guidelines.
• Perform timely reviews of externally facing collateral such as RFPs, DDQs, client pitch books, and related materials on a quarterly and ad hoc basis.
• Administer the firm’s compliance policies and procedures, including but not limited to anti-money laundering (AML), material non-public information (MNPI), conflicts of interest, political contributions, and outside business activities.
• Stay updated on evolving regulations and industry trends to proactively adjust the compliance program.
• Other general compliance roles and responsibilities, including support of internal and external audits and examinations as necessary.
  
  

Qualifications:

The Compliance Officer must possess exceptional communication and organizational skills, attention to detail, dedication to excellent client service and a commitment to working collaboratively with colleagues to effect risk reduction and a continuous improvement in the firm’s compliance program.

Specific qualifications for this position include:

• 4-6 years of experience in a compliance role with a registered investment advisor
• Familiarity with SEC Marketing rule requirements
• Strong operational understanding of private client, institutional client, fund, and private equity investment managers.
• Ability to demonstrate ownership over given responsibilities while working under moderate supervision
• Ability to multi-task, prioritize and perform well under pressure
• Ability to adapt to rapidly changing priorities
• A track record of providing well-reasoned, balanced compliance advice
• Excellent written and verbal communication skills
• Ability to work in an office location
  
  

Salary: $90-110k. Commensurate with experience and location. Does not include bonus or long term incentive eligibility (if applicable).

Benefits

At Brown Advisory we offer a competitive compensation package, including full benefits.

• Medical
• Dental
• Vision
• Wellness program participation incentive
• Financial wellness program
• Gym membership discounts
• Fitness event fee reimbursement
• Corporate gym membership discounts
• Colleague Assistance Program
• Telemedicine Program (for those enrolled in Medical)
• Adoption Benefits
• Daycare late pick-up fee reimbursement
• Basic Life & Accidental Death & Dismemberment Insurance
• Voluntary Life & Accidental Death & Dismemberment Insurance
• Short Term Disability
• Paid parental leave
• Group Long Term Disability
• Pet Insurance
• 401(k) (50% employer match up to IRS limit, 4 year vesting)
  
  

Brown Advisory is an Equal Employment Opportunity Employer.