Senior Compliance Officer

Company Overview

Every firm has a culture - the values, beliefs, methodology, attitudes and standards that reflect an organization's DNA. But the truly inspiring firms - the game-changers, the industry leaders and the disruptors - have cultures that propel them to innovate and stand out. At Brown Advisory, we aim to be one of those inspired firms. Over the years, we have purposefully built and nurtured our client-first culture.

Brown Advisory is an independent investment management and strategic advisory firm committed to delivering a combination of first-class performance, strategic advice and the highest level of client service. The firm's clients-including individuals, families, family offices, endowments, foundations, charities, institutions, consultants, and financial intermediaries-are served by over 1,000 colleagues worldwide, all of whom are equity owners of the firm.

Job Description

Brown Advisory is seeking a Senior Compliance Officer to join the firm's growing Legal, Compliance and Internal Audit Department in Baltimore.

The primary duties and responsibilities include but are not limited to:

• Overseeing and supporting the firm's Code of Ethics compliance program

• Maintaining program documentation including the compliance calendar, policies, procedures, risk and conflict inventories

• Performing marketing reviews

• Preparing regulatory filings and supporting 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

Desired Qualifications:

The Senior Compliance Officer must possess a bias for action and ownership, an entrepreneurial mindset, exceptional communication and organizational skills, attention to detail, dedication to excellent client service and a willingness to approach compliance challenges with creativity and resourcefulness.

Specific qualifications for this position include:

• Bachelor's degree required

• JD preferred

• 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).

MD Salary: $110-$140K. Commensurate with experience and location. Does not include bonus or long-term incentive eligibility (if applicable).

Benefits

At Brown Advisory we offer a competitive compensation package, including full 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)

Brown Advisory is an Equal Employment Opportunity Employer.