Senior Compliance Officer

Brown Investment Advisory & Trust•Baltimore, MD

3d•$110 - $140

About The Position

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 950 colleagues worldwide, all of whom are equity owners of the firm. Abu Dhabi | 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 a Senior Compliance Officer to join the firm’s growing Legal, Compliance and Internal Audit Department in Baltimore. The Senior Compliance Officer will lead a team responsible for core compliance functions globally.

Requirements

Bachelor’s degree required
Seven (7) plus years of relevant experience
Experience and knowledge of the investment management industry
Ability to multi-task, prioritize and perform well under pressure
Ability to adapt in a positive manner to rapidly changing priorities
Ability to handle confidential material with utmost discretion
Ability to work with minimal supervision to accomplish objectives and priorities
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).

Nice To Haves

JD preferred
The Senior Compliance Officer must possess a bias for action and ownership, an entrepreneurial mindset, exceptional communication and organizational skills, attention to detail, dedication to excellent client service and a willingness to approach compliance challenges with creativity and resourcefulness.

Responsibilities

Overseeing and managing the firm's Code of Ethics compliance program
Maintaining and overseeing compliance program documentation including the compliance calendar, policies, procedures, risk and conflict inventories
Managing the marketing review process
Preparing regulatory filings and managing regulatory exams
Conducting ongoing compliance program assessments
Participating in the risk assessment and testing program
Identifying and addressing situations involving conflicts of interest
Undertaking special projects and supporting other compliance program initiatives