Chief Compliance Officer Job at Veritas Partners, Cockeysville, MD

  • Veritas Partners
  • Cockeysville, MD

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

Job Tags

Full time

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