Wealth-Management Compliance Analyst | SEC Readiness

Veritas Partners; Cockeysville (MD); On-site; USD 70,000 - 100,000; Full time

Job summary

Our client, a wealth management firm in Hunt Valley, MD, is seeking a Compliance Analyst to monitor and test adherence to the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements. The analyst will report to the Chief Compliance Officer and contribute to the firm’s regulatory program.

Responsibilities include reviewing client activity and marketing materials for compliance, preparing regulatory filings, assisting with SEC examinations and audits, and

Qualifications

• Five years of compliance experience at a wealth management firm.
• Working knowledge of the Investment Advisers Act of 1940.

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

Skills

Regulatory compliance

Job description

Our client, a wealth management firm in Hunt Valley, MD, is seeking a Compliance Analyst to monitor and test adherence to the Investment Advisers Act, including the Marketing Rule, custody rule, and Form ADV requirements. The analyst will report to the Chief Compliance Officer and contribute to the firm’s regulatory program.

Responsibilities include reviewing client activity and marketing materials for compliance, preparing regulatory filings, assisting with SEC examinations and audits, and