Compliance Associate - Verdence Capital Advisors
Compliance Associate
Verdence Capital Advisors
Location: Hunt Valley, MD
Overview
The Compliance Associate reports to and assists the Chief Compliance Officer (CCO) with administering the investment adviser compliance program and ensuring the adequacy of policies and procedures and the effectiveness of their implementation. The Compliance Associate helps ensure the firm complies with U.S. Securities and Exchange Commission (SEC) rules by monitoring and testing business activities, interacting with employees and third party providers on matters of compliance, maintaining records and filings, reviewing marketing materials, supporting examinations, and identifying regulatory risks.
This role suits someone who has worked inside an RIA compliance function, knows the Investment Advisers Act well, and wants ownership over real programs rather than a narrow slice of one.
Full description and responsibilities in the link to apply.