Compliance Officer

Our client, a global Investment Manager based in Baltimore, Maryland, is seeking a Compliance Officer to join their compliance team. The ideal candidate will have 2 -6 years of relevant experience within the Investment Management industry. This individual must have experience reviewing regulatory filings, DDQs and RFPs. This role requires previous experience with SEC policies and procedures, cash transactions, onboarding, and KYC.

Responsibilities include:

• Manage the firm’s Code of Ethics compliance program, including monitoring personal trading, gifts & entertainment, certifications & attestations, and onboarding of new colleagues.
• Oversee and contribute to the development of the Compliance Testing Program to identify potential risks, while reviewing marketing materials and externally facing collateral in line with SEC guidelines and internal policies.
• Administer and enforce compliance policies, such as AML, MNPI, conflicts of interest, and political contributions, while staying updated on regulatory changes and supporting audits and examinations as needed.

Requirements:

• 2-6 years of compliance experience with a registered investment advisor, strong knowledge of SEC Marketing Rule requirements, and a solid understanding of private client, institutional client, fund, and private equity investment managers.
• Experience with reviewing regulatory filings, DDQs and RFPs.
• Demonstrated ability to manage responsibilities independently with moderate supervision, prioritize tasks effectively, perform under pressure, and adapt to rapidly changing priorities.
• Proven track record of providing balanced compliance advice, with excellent written and verbal communication skills.