Deputy Chief Compliance Officer Job at Alexander Chapman, Baltimore, MD

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  • Alexander Chapman
  • Baltimore, MD

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

Work at office,

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