Senior Compliance Officer

Brown Investment Advisory & Trust•Baltimore, MD

8d•$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 primary duties and responsibilities include but are not limited to : Overseeing and supporting the firm's Code of Ethics compliance program Maintaining program documentation including the compliance calendar, policies, procedures, risk and conflict inventories Performing marketing reviews Preparing regulatory filings and supporting 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
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 supporting the firm's Code of Ethics compliance program
Maintaining program documentation including the compliance calendar, policies, procedures, risk and conflict inventories
Performing marketing reviews
Preparing regulatory filings and supporting 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