Brown Advisory · 1 day ago
Senior Compliance Officer
Baltimore, MD
Full-time
Onsite
Mid, Senior Level
$110K/yr - $140K/yr
7+ years expBrown Advisory is an independent investment management and strategic advisory firm committed to delivering first-class performance and client service. They are seeking a Senior Compliance Officer to lead a team responsible for core compliance functions globally, including managing the firm's Code of Ethics compliance program and preparing regulatory filings.
Asset ManagementFinancial ServicesVenture CapitalWealth Management
No H1B
Responsibilities
Overseeing and managing the firm's Code of Ethics compliance program
Maintaining and overseeing compliance program documentation including the compliance calendar, policies, procedures, risk and conflict inventories
Managing the marketing review process
Preparing regulatory filings and managing regulatory exams
Conducting ongoing compliance program assessments
Participating in the risk assessment and testing program
Identifying and addressing situations involving conflicts of interest
Undertaking special projects and supporting other compliance program initiatives
Qualification
Required
Bachelor's degree required
Seven (7) plus years of relevant experience
Experience and knowledge of the investment management industry
Ability to multi-task, prioritize and perform well under pressure
Ability to adapt in a positive manner to rapidly changing priorities
Ability to handle confidential material with utmost discretion
Ability to work with minimal supervision to accomplish objectives and priorities
Applicants must be authorized to work in the United States without the need for current or future employer-sponsored work authorization (e.g., H-1B , O-1, F-1 (OPT), TN, or any other non-immigrant visa classifications that require employer support or sponsorship)
Preferred
JD preferred
Benefits
Medical
Dental
Vision
Wellness program participation incentive
Financial wellness program
Fitness event fee reimbursement
Gym membership discounts
Colleague Assistance Program
Telemedicine Program (for those enrolled in Medical)
Adoption Benefits
Daycare late pick-up fee reimbursement
Basic Life & Accidental Death & Dismemberment Insurance
Voluntary Life & Accidental Death & Dismemberment Insurance
Short Term Disability
Paid parental leave
Group Long Term Disability
Pet Insurance
401(k) (50% employer match up to IRS limit, 4 year vesting)
Company
Brown Advisory
Brown Advisory is an independent investment management and strategic advisory firm.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Michael D. Hankin
founder/President and CEO
John Chapoton
Partner and Strategic Advisor
Recent News
Maryland Daily Record
2026-01-03
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