Alexander Chapman · 1 week ago
Deputy Chief Compliance Officer
Baltimore, MD
Full-time
Hybrid
Director/Executive
10+ years expAlexander Chapman is a well-established investment management firm seeking a Deputy Chief Compliance Officer to join its senior leadership team. This role involves overseeing the firm's compliance program and providing guidance to various teams while ensuring adherence to regulatory requirements.
ConsultingHuman ResourcesRecruiting
Hiring Manager
Dafina Vokrri
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
Qualification
Required
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
Strong judgment, communication skills, and a practical, business-oriented mindset
Preferred
Prior senior or deputy compliance leadership experience
Company
Alexander Chapman
Alexander Chapman offers recruitment services, focusing on human resources and talent management.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
D
Daniel Hoff
Co-Founder
Genti Zullufi
Co-Founder
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