Senior Compliance Officer

Brown Advisory•Baltimore, MD

2d•$110 - $140

About The Position

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

Requirements

Bachelor’s degree required
JD preferred
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).

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