Compliance Associate

Alexander Chapman; Baltimore (MD); On-site; USD 110,000 - 140,000; Full time

Job summary

Alexander Chapman is seeking a Compliance Associate to support its Chief Compliance Officer and broader compliance program. The role will monitor adherence to the Investment Advisers Act, maintain policies, and review marketing materials and account activity.

You will administer the Code of Ethics, prepare regulatory filings such as Form ADV, and assist SEC examinations and internal audits. Strong communication, judgment, and independence are essential.

Qualifications

• 5+ years of compliance experience within a regulated financial institution.
• Strong knowledge of the Investment Advisers Act of 1940.
• Experience with the Marketing Rule, custody, books & records, and Form ADV.

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.

Skills

Compliance experience

Investment Advisers Act

Form ADV

Job description

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