Compliance Associate
Alexander Chapman
A growing investment management firm is seeking a Compliance Associate to support its Chief Compliance Officer and broader compliance program.
Key Responsibilities:
- Monitor and test compliance with the Investment Advisers Act
- Maintain compliance policies, procedures, and records
- Review marketing materials, communications, and account activity
- Administer the Code of Ethics and personal trading program
- Prepare regulatory filings, including Form ADV
- Support SEC examinations and internal audits
Requirements:
- 5+ years of compliance experience within an RIA, broker-dealer, or similar regulated financial institution
- Strong knowledge of the Investment Advisers Act of 1940
- Experience with the Marketing Rule, custody, books & records, and Form ADV
- Strong communication, judgment, and attention to detail
- Ability to work independently and take ownership of compliance initiatives
Vacancy posted 12 hours ago
Similar jobs that could be interesting for youBased on the Compliance Associate in Baltimore, MD vacancy
- ...Position: Compliance Associate Location: Hunt Valley, MD About the Opportunity This role suits someone who has worked inside an RIA compliance function, knows the Investment Advisers Act well, and wants ownership over real programs rather than a narrow slice...Suggested
CivicMinds, Inc
Hunt Valley, MD12 hours ago $135k - $159k
...investments trusts and other assets.Position Overview: As the Compliance Manager / AML Officer, you will be responsible for leading and... ...SMA) / retail wrap accounts, collective investment trusts, and associated service providers.Job Description PLEASE NOTE: This is a...SuggestedFull timeWork at officeWorldwideTransamerica
Baltimore, MD2 days ago$150k - $200k
...your potential, but also to contribute to our clients’ success.About the PositionThe successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to...SuggestedLocal area3 days per weekFranklin Templeton
Baltimore, MD14 hours ago- Senior Compliance ExecutiveOur growing Commercial Broking client is looking for a dedicated Senior Compliance Executive to support the day-to-day business operations. You’ll…..Our growing Commercial Broking client is looking for a dedicated Senior Compliance Executive...SuggestedFull timePart time
Employment Specialists
Essex, MD3 days ago $69.5k - $118k
...confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect... ...in ways that matter to you. Role SummaryGlobal Investment Compliance (GIO) is a global team responsible for ensuring compliance with...SuggestedFull timeWork experience placementLocal areaRemote workWork from home1 day per weekT. Rowe Price
Baltimore, MD4 days ago- ...9 million customers worldwide.* For more information, visit transamerica.com. Job Description SummaryContribute to an effective compliance program by mitigating legal, regulatory, operational, and reputational risk by applying broad regulatory compliance knowledge to...Full timeContract workWork at officeRemote workWorldwideVisa sponsorshipRelocation package3 days per week
Transamerica
Baltimore, MD3 days ago $45k - $50k
...their personal goals. Our clients will feel safe, well taken care of and a part of a family unit that cares. Job Summary The Compliance Manager ensures the organization’s adherence to DDA regulations and internal policies across all operational areas including...Work at officeLocal areaMonday to FridayMillennium Residential Inc
Towson, MD20 days ago- ...Job Description Job Description About the Role: The Compliance Coordinator plays a crucial role in ensuring that the organization adheres to all regulatory requirements and internal policies. This position involves monitoring compliance activities, conducting audits...Local area
VDA
Towson, MD5 days ago $108k - $185k
We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and governance for Artificial Intelligence initiatives, including Generative AI, partnering...Temporary workLocal areaMorgan Stanley
Baltimore, MD20 hours ago$88.2k - $129k
Overview ST Engineering MRAS is seeking a Global Trade Compliance Specialist to join our team. You will focus on implementing international trade compliance activities into daily business operations, conducting compliance assessments, and working with a variety of internal...Contract workWork at officeImmediate startWorldwideFlexible hours- Our client, a wealth management firm in Hunt Valley, MD, is currently seeking a Compliance Analyst to join their growing internal compliance team. The incumbent will report to the Chief Compliance Officer and will be responsible for monitoring and testing the firm's compliance...
- The Compliance Specialist will be responsible for ensuring the company's operations comply with relevant laws and regulations in the iGaming industry. Matos Builders is a growing construction company based in Baltimore, US. Estimated Benefits Health Insurance Retirement...
$52k - $60k
Salary Range: $52,000.00 To $60,000.00 Annually About the Role: The Scheduling Coordinator plays a critical role in managing and optimizing data workflow schedules to ensure seamless and efficient operations within the organization. This position is responsible for coordinating...Local area- ...Compliance Consultant Lumelight is an integrated workplace administration and compliance business. We serve the brokers and third party administrators who support employers in the complex, crucial areas of benefits design, compliance and administration. We handle the...Work at officeRemote workFlexible hours
$20 - $30 per hour
...the health of our communities What you'll do: Manage the credentialing and privileging process for providers Ensure compliance with Joint Commission, CMS, NCQA, and regulatory requirements Partner with medical staff leadership and clinical departments...LifeBridge Health
Baltimore, MD20 hours ago- ...with Anne Arundel Dermatology. We believe in providing our new associates with intensive hands on training and long-term career growth... ...ExcelAbility to maintain confidentiality and uphold the principles of compliance as outlined by the companyAbility to work...Full timeWork at officeRemote work
myDermRecruiter
Owings Mills, MD20 hours ago $110k - $140k
...perspective and meaningful partnership so our clients can feel more confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community....Full timeLocal areaRemote work1 day per weekT. Rowe Price
Baltimore, MD1 day ago$19.1 per hour
...status of new applicant, contractor, and federal employee files. Compliance and Training Stay up to date with relevant policies,... ...employer of choice in the Washington metropolitan area. Citizant associates accept challenging and rewarding work and in return receive excellent...Full timeFor contractorsLocal areaImmediate startFlexible hoursCitizant
Baltimore, MD2 days ago- ..., and coordinate communications with clinicians, leadership, and committees. A Bachelor's degree or healthcare admin experience is preferred. Work Mon-Fri on a day shift, advancing quality, efficiency, and regulatory compliance across the Division of #J-18808-Ljbffr...Day shift
Sheppard Pratt
Towson, MD3 days ago - ...duties as assigned. Knowledge, Skills, and Abilities (KSAs): Ability to complete required online credentialing training and maintain compliance with PIV-II SmartID credential requirements. Knowledge of ICAM and USAccess credentialing processes, including enrollment,...Full timeContract workTemporary workFor contractorsLocal areaRelocationShift workNight shiftWeekend work
Armada
Baltimore, MD4 days ago - ...Specialist will perform credential enrollment, issuance, activation, inventory management, and customer support activities while ensuring compliance with established credentialing policies and security procedures. This position supports secure identity management operations at...Permanent employmentFor contractorsWork experience placementWork at office
One Federal Solution
Baltimore, MD3 days ago $96.5k - $164k
...perspective and meaningful partnership so our clients can feel more confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community....Full timeLocal areaRemote work3 days per weekT. Rowe Price
Baltimore, MD1 day ago$97k - $110k
...portfolio risks and asset liability mismatch risks.Assess general account portfolio performance attribution vs. benchmark, as well as associated impact with derivatives programs.Lead the General Account Dashboard (Power BI based) development to enhance portfolio...Full timeContract workWork at officeRemote workWorldwideVisa sponsorshipTransamerica
Baltimore, MD2 days ago- DescriptionKforce has a client that is seeking a Data Analyst in Baltimore, MD.Summary:We are seeking a highly skilled Data & Systems Analyst to support data management, reporting, automation, and technology optimization across the organization. This role will develop dashboards...
KForce
Baltimore, MD20 hours ago - ...Job Description Job Description Apply now: Compliance & Risk Analyst (Audit & Controls), location is Owings Mills, MD. The start date is ASAP for this 6-month contract position. Job Title: Compliance & Risk Analyst (Audit & Controls) Location-Type: Hybrid (Owings...Contract workImmediate start2 days per week
Mondo
Owings Mills, MDa month ago $110k - $117k
...Assisting with managing and maturing the Firm’s enterprise data management program, partnering with IT, Security, Records, Legal, Compliance, and business teams to align data management practices with Firm policy and business needs.Supporting governance and operational...Flexible hoursVenable
Baltimore, MD4 days ago$77k - $131k
...perspective and meaningful partnership so our clients can feel more confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community....Full timeWork experience placementLocal areaRemote workWork from home1 day per weekT. Rowe Price
Owings Mills, MD20 hours ago$77k - $131k
...perspective and meaningful partnership so our clients can feel more confident. We believe doing the right thing for our clients and our associates is good business. With a career at the firm, you can expect opportunities to create real impact at work and in your community....Full timeWork experience placementLocal areaImmediate startRemote workWork from homeShift work1 day per weekT. Rowe Price
Owings Mills, MD20 hours ago$41 - $65.6 per hour
...Baltimore, MD 21201 Category: Healthcare Operations Schedule: Day Shift Employment Type: Full Time Summary The Compliance Program Manager is responsible for the development, implementation, and ongoing monitoring of the Corporate Compliance Program...Full timeWork experience placementLocal areaRemote workWork from homeDay shiftJohns Hopkins Medicine
Dundalk, MD4 days ago- Job-ID: P27-3569254-1Location: 9613 NIGHTFALL DR, FRISCO, TX, 75035, US; BOSTON, MA, 2128, US; ARLINGTON, VA, 20301, US; ATLANTA, GA, 30312, US; AUSTIN, TX, 78701, US; BALTIMORE, MD, 21228, US; CHARLOTTE, NC, 28203, US; CHICAGO, IL, 60629, US; CINCINNATI, OH, 45201, US;...Local areaRemote workWorldwide
Sodexo
Baltimore, MD4 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Associate. Be the first to apply!
Related searches
- compliance analyst Baltimore, MD
- aml compliance analyst Baltimore, MD
- risk and compliance analyst Baltimore, MD
- regulatory affairs consultant Baltimore, MD
- research compliance officer Baltimore, MD
- compliance officer Baltimore, MD
- regulatory compliance associate Baltimore, MD
- healthcare compliance officer Baltimore, MD
- regulatory compliance analyst Baltimore, MD
- cybersecurity policy and compliance analyst Baltimore, MD