Job Description

Job Description

Deputy Chief Compliance Officer

Location: Baltimore, Maryland (Hybrid – 4–5 days in office)

Overview

A well-established investment management firm with a diversified institutional and private client platform is seeking a Director of Compliance / Deputy Chief Compliance Officer to join its senior leadership team.

This role offers the opportunity to help shape and oversee a comprehensive compliance program within an entrepreneurial, growth-oriented environment.

Key Responsibilities

• Support the Chief Compliance Officer in overseeing the firm’s compliance program across institutional and private client businesses
• Assist with the development, implementation, and enhancement of compliance policies, procedures, and controls
• Provide day-to-day compliance guidance to investment, client service, and operational teams
• Monitor and ensure compliance with applicable SEC and regulatory requirements for registered investment advisers
• Support regulatory examinations, audits, and internal reviews
• Track regulatory developments and assess their impact on the business
• Serve as a senior escalation point for complex compliance matters
• Help mentor and develop compliance team members

Qualifications

• 10+ years of compliance experience within an investment adviser or asset management environment
• Experience supporting both institutional and private client platforms
• Strong knowledge of SEC regulations applicable to RIAs
• Prior senior or deputy compliance leadership experience preferred
• Strong judgment, communication skills, and a practical, business-oriented mindset

f this opportunity aligns with your background and career goals, we encourage you to apply.

Job Tags

Similar Jobs