Compliance Analyst

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.ResponsibilitiesAssist the Chief Compliance Officer (CCO) with administering the investment adviser compliance programReview client account activity, marketing materials, advertising, and communications for adherence to regulatory requirementsPrepare and file regulatory filings, including Form ADV updates and state registrationsSupport the CCO in preparing for and responding to SEC examinations and internal auditsTrain employees on compliance policies and escalating issuesCoordinate with outside counsel and compliance consultantsQualificationsFive years of compliance experience at a wealth management firmWorking knowledge of the Investment Advisers Act of 1940Strong written and verbal communicationBachelor's degree preferred