Compliance Associate

Verdence Capital Advisors; Cockeysville (MD); On-site; USD 80,000 - 150,000; Full time

Benefits offered by this job

Employer-paid health insurance

Dental and vision insurance

401k

Educational assistance

Wellness reimbursement

PTO and holidays

Parental leave

Job summary

Verdence Capital Advisors seeks a Compliance Associate to support the Chief Compliance Officer in administering the investment adviser compliance program. You will monitor, test, and maintain policies, procedures, and records to ensure SEC rule compliance.

Ideal candidates have 5+ years in RIA compliance, strong knowledge of the Advisers Act, and the ability to translate regulatory requirements into practical firm policy while collaborating with cross-functional teams.

Qualifications

• Five or more years of compliance experience at a registered investment adviser or similar regulated financial firm.
• Working knowledge of the Investment Advisers Act of 1940, including the Marketing Rule, custody rule, and books and records requirements.
• Series 65 (or equivalent) preferred; Bachelor's degree in a related field.

Responsibilities

• Monitoring and testing the firm's compliance with the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements.
• Maintaining and updating Verdence's written supervisory procedures and compliance manual.
• Reviewing client account activity, marketing materials, advertising, and communications for adherence to regulatory requirements.
• Administering the firm's code of ethics program, including personal trading pre-clearance, reporting, and monitoring.
• Preparing and filing regulatory filings, including Form ADV updates and state registrations.
• Supporting the CCO in preparing for and responding to SEC examinations and internal audits.
• Tracking regulatory developments and helping translate new rules into practical firm policy.
• Maintaining the compliance records, logs, and documentation required under the Advisers Act.
• Training employees on compliance policies and escalating issues as they arise.
• Coordinating with outside counsel and compliance consultants as needed.

Skills

Compliance experience

Investment Advisers Act knowledge

Communication skills

Attention to detail

Independent work

Education

Bachelor's degree in related field

Tools

Series 65

Form ADV knowledge

Job description

Verdence Capital Advisors (VCA) is a $5 billion Registered Investment Advisor with nearly 60 employees, serving ultra-high-net-worth families, business owners, executives, athletes, and entertainers. The firm provides comprehensive wealth management, including financial planning, portfolio strategy, alternative investments, estate planning, philanthropy, tax and legal coordination, and multigenerational legacy planning.

Explore our services, team and more at verdence.com

About the Opportunity

The Compliance Associate reports to and assists the Chief Compliance Officer (CCO) with administering the investment adviser compliance program and ensuring the adequacy of policies and procedures and the effectiveness of their implementation. The Compliance Associate helps ensure the firm complies with U.S. Securities and Exchange Commission (SEC) rules by monitoring and testing business activities, interacting with employees and third party providers on matters of compliance, maintaining records and filings, reviewing marketing materials, supporting examinations, and identifying regulatory risks.

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 of one.

Main Responsibilities

Responsibilities include, but are not limited to:

• Monitoring and testing the firm's compliance with the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements.
• Maintaining and updating Verdence's written supervisory procedures and compliance manual.
• Reviewing client account activity, marketing materials, advertising, and communications for adherence to regulatory requirements.
• Administering the firm's code of ethics program, including personal trading pre-clearance, reporting, and monitoring.
• Preparing and filing regulatory filings, including Form ADV updates and state registrations.
• Supporting the CCO in preparing for and responding to SEC examinations and internal audits.
• Tracking regulatory developments and helping translate new rules into practical firm policy.
• Maintaining the compliance records, logs, and documentation required under the Advisers Act.
• Training employees on compliance policies and escalating issues as they arise.
• Coordinating with outside counsel and compliance consultants as needed.

Qualifications Required

• Five or more years of compliance experience at a registered investment adviser, broker-dealer, or similar regulated financial firm.
• Working knowledge of the Investment Advisers Act of 1940, including the Marketing Rule, custody rule, and books and records requirements.
• Series 65 (or equivalent) preferred. Bachelor's degree in a related field.
• Strong written and verbal communication. You can explain a regulatory requirement clearly to someone outside compliance.
• Sound judgment and attention to detail.
• Comfort working independently and taking ownership of a growing program.

What We Offer

We offer a collaborative, professional environment with opportunities for professional growth and advancement as the firm continues to expand. Our team culture is built on excellence, integrity, and genuine client care. The compensation package for this position consists of a base salary with eligibility for an annual bonus as well as eligibility to participate in all company benefits offered by VCA. This includes, but is not limited to medical, dental, and vision insurance (all employer-paid), disability and life insurance, 401k, educational assistance, wellness reimbursement, PTO, holidays, and parental leave. The salary range for this position will be $80,000 to $150,000. Salary will be commensurate with experience, skills, credentials, and geographical location of each candidate.

We are committed to providing equal employment opportunities to all employees and applicants for employment.