Chief Compliance Officer

Veritas Partners; Cockeysville (MD); On-site; USD 180,000 - 260,000; Full time

Job summary

Veritas Partners is seeking a Chief Compliance Officer to lead and own the firm's regulatory program for its wealth management operations in Hunt Valley, MD. The individual will report to the COO and drive the design, implementation, and ongoing effectiveness of the compliance framework.

Responsibilities include advising leadership on regulatory risk, coordinating SEC examinations, and ensuring compliance with key regulatory rules such as Form ADV/CRS and state filings.

Qualifications

• 10+ years of experience in compliance for an SEC-registered investment adviser.
• Experience leading or supporting an SEC examination.
• Working knowledge of the Investment Advisers Act of 1940.

Responsibilities

• Advise leadership on regulatory risk and report on testing results, exam findings, and open issues.
• Lead the firm's response to SEC examinations, regulator inquiries, and internal audits.
• Ensure compliance with the Marketing Rule, custody rule, Regulation S-P, Form ADV and Form CRS.
• Review marketing materials, social media, and client communications.
• Prepare and file Form ADV amendments, Form CRS, state registrations, and other regulatory filings.
• Conduct due diligence on vendors and manage relationships with outside counsel and compliance consultants.

Skills

Regulatory compliance leadership

SEC examinations experience

Risk assessment

Job description

Our client, a wealth management firm in Hunt Valley, MD, is currently seeking a Chief Compliance Officer to join their growing team. The incumbent will report to the Chief operating Officer and will be responsible for developing and owning the firm's compliance program.

Responsibilities

• Advise leadership on regulatory risk, and report on testing results, exam findings, and open issues
• Lead the firm's response to SEC examinations, regulator inquiries, and internal audits
• Ensure compliance with the Marketing Rule, custody rule, Regulation S-P, Form ADV and Form CRS
• Review marketing materials, social media, and client communications
• Prepare and file Form ADV amendments, Form CRS, state registrations, and other regulatory filings
• Conduct due diligence on vendors and manage relationships with outside counsel and compliance consultants

Qualifications

• 10+ years of experience as a compliance professional with an SEC-registered investment adviser
• Experience leading or supporting an SEC examination
• Working knowledge of the Investment Advisers Act of 1940