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Now viewing: Compliance Associate
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Alexander Chapman
Compliance Associate
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Job Description
Compliance Associate at Alexander Chapman Compliance Associate at Alexander Chapman in Halethorpe, Maryland Posted in about 10 hours ago.
Type:
full-time 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