Senior Compliance Analyst

Brown Investment Advisory & Trust•Baltimore, MD

5d•$70 - $85•Onsite

About The Position

Brown Advisory is seeking an engaged, detail oriented and self-motivated Senior Compliance Analyst to join the firm’s Compliance team. The Senior Compliance Analyst 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.

Requirements

2-4 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 our Baltimore office five days a week
Applicants must be authorized to work in the United States without the need for current or future employer-sponsored work authorization (e.g., H-1B , O-1, F-1 (OPT), TN, or any other non-immigrant visa classifications that require employer support or sponsorship).

Responsibilities

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 performance of the firm’s Compliance Testing Program to identify and account for areas of risk, including supporting the closing out of recommendations.
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 regulatory 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.
Other general compliance roles and responsibilities, including support of internal and external audits and examinations as necessary.