Chief Compliance Officer Job at Veritas Partners, Cockeysville, MD

  • Veritas Partners
  • Cockeysville, MD

Job Description

Our client, a wealth management firm in Hunt Valley, MD, is currently seeking a Chief Compliance Officer to join their growing team. The incumbent will report to the Chief operating Officer and will be responsible for developing and owning the firm's compliance program.

Responsibilities

  • Advise leadership on regulatory risk, and report on testing results, exam findings, and open issues
  • Lead the firm's response to SEC examinations, regulator inquiries, and internal audits
  • Ensure compliance with the Marketing Rule, custody rule, Regulation S-P, Form ADV and Form CRS
  • Review marketing materials, social media, and client communications
  • Prepare and file Form ADV amendments, Form CRS, state registrations, and other regulatory filings
  • Conduct due diligence on vendors and manage relationships with outside counsel and compliance consultants

Qualifications

  • 10+ years of experience as a compliance professional with an SEC-registered investment adviser
  • Experience leading or supporting an SEC examination
  • Working knowledge of the Investment Advisers Act of 1940
  • Bachelor's degree required
  • Series 65 or 66 preferred
  • Juris Doctorate is a plus

Job Tags

Full time

Similar Jobs

FedEx

Seasonal Package Handler - Part Time (Warehouse like) Job at FedEx

 ...pay for a gym membership when you can get paid while working out?\n Warehouse duties include loading, unloading, and sorting of packages of various sizes. \n Part time Federal Express Corporation (FEC) employees work one shift a day; full time Federal Express... 

Pine Ridge Ranch LLC

Cattle Ranch Hand Job at Pine Ridge Ranch LLC

Job Description Job Description Full time cattle ranch hand position reporting to the ranch manager about 7 miles south of Athens, TX towards Palestine, TX. Please include ranch experience in resume or in cover letter. We have ability to move up in salary and position...

ABM Industries

School Custodial Cleaner Job at ABM Industries

 ...Qualifications: Must be 18 years of age or older No experience required and on the job training provided. No high school diploma, GED or college degree required. Preferred Qualifications: Prior customer service experience One (1) year of prior similar... 

Express Employment Professionals - Cincinnati East

Spray Painter Job at Express Employment Professionals - Cincinnati East

 ...NOW HIRING SPRAY PAINTERSPay: $18/hourSchedule: MondayFriday, 8:00 AM4:30 PMWe are looking for Spray Painters to join our team.Experience painting with a sprayer in a manufacturing environment requiredOccasional Saturdays may be required based on production needs... 

Fort Valley State University

Lab Manager - Chemistry Job at Fort Valley State University

 ...UNIVERSITY (FVSU), a state and land-grant institution of the University System of Georgia, invites applications for the position of Lab Manager- Chemistry.Fort Valley State University, the only 1890 land-grant university in Georgia, is a comprehensive institution that...