RIA Compliance Lead — SEC Rules & Program Ownership

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 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.