Chief Compliance Officer - Baltimore
Location :
Baltimore, MD
Job Type :
Direct
Hours :
Full Time
Required Years of Experience :
5
Required Education :
Bachelor's Degree Required
Travel :
No
Relocation :
No
Job Description :
Our client, an investment management firm in Baltimore, MD, is currently seeking a Chief Compliance Officer. The incumbent will oversee management of the compliance function and ensure compliance with industry regulations.
Additional Responsibilities:
Conduct firms annual compliance review
Prepare and submit form ADV and Form CRS
Provide strategic advice
Serve as liaison between the firm and outside counsel
Qualifications:
Minimum of five years of investment management compliance experience
Series 7 and 24
Experience form ADV and Form CRS
Knowledge of FINRA regulations
Bachelor's degree required
Excellent organizational skills
Required Qualifications :
