Compliance Associate - Hunt Valley, MD

Veritas Partners; Maryland; On-site; USD 70,000 - 100,000; Full time

Job summary

Veritas Partners, a wealth management firm in Hunt Valley, MD, seeks a Compliance Analyst to join its internal compliance team. The incumbent reports to the Chief Compliance Officer and will monitor and test adherence to the Investment Advisers Act.

Responsibilities include reviewing client activity, marketing materials, preparing filings (Form ADV updates, state registrations), and supporting SEC examinations and audits.

Qualifications

• Five years of compliance experience at a wealth management firm.
• Working knowledge of the Investment Advisers Act of 1940.
• Strong written and verbal communication.

Responsibilities

• Assist the Chief Compliance Officer with administering the investment adviser compliance program.
• Review client account activity, marketing materials, advertising, and communications for adherence to regulatory requirements.
• Prepare and file regulatory filings, including Form ADV updates and state registrations.
• Support the CCO in preparing for and responding to SEC examinations and internal audits.
• Train employees on compliance policies and escalating issues.
• Coordinate with outside counsel and compliance consultants.

Skills

Compliance experience

Investment Advisers Act knowledge

Communication skills

Education

Bachelor's degree

Job description

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 with the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements.

Responsibilities

• Assist the Chief Compliance Officer (CCO) with administering the investment adviser compliance program
• Review client account activity, marketing materials, advertising, and communications for adherence to regulatory requirements
• Prepare and file regulatory filings, including Form ADV updates and state registrations
• Support the CCO in preparing for and responding to SEC examinations and internal audits
• Train employees on compliance policies and escalating issues
• Coordinate with outside counsel and compliance consultants

Qualifications

• Five years of compliance experience at a wealth management firm
• Working knowledge of the Investment Advisers Act of 1940
• Strong written and verbal communication
• Bachelor's degree preferred