Senior Investment Compliance Analyst

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, a global leader in investment management, is seeking a highly motivated Senior Investment Compliance Analyst to join our global Compliance team in Baltimore. This role is well-suited for professionals with investment management experience who thrive in a fast-paced, collaborative environment and are eager to contribute to a global compliance program.

As a member of the Investment Compliance team, you will play a critical role in interpreting and translating client mandates and regulatory requirements into systematic trading controls. This role requires a strong sense of ownership, intellectual curiosity, and accountability. Candidates must be comfortable managing their responsibilities independently while maintaining a high standard of accuracy and transparency. You will work closely with stakeholders across the firm, support portfolio management activities, and contribute to initiatives that enhance efficiency, strengthen controls, and mitigate risk.

Key Responsibilities

• Design, implement, and maintain trading controls within the Charles River Investment Management Solution (CRD/CRIMS) based on client guidelines and regulatory standards

• Develop proficiency in logic-based rules implementation within Charles River

• Monitor pre- and post-trade compliance across a range of accounts, including private client and institutional portfolios, mutual funds, ETFs, and UCITS

• Partner with investment teams to navigate trading controls and support portfolio management decisions

• Prepare, interpret, and distribute daily compliance reports to internal stakeholders

• Collaborate with client and relationship teams to draft and review Investment Policy Statements

• Lead and contribute to projects that enhance compliance infrastructure and streamline trade life-cycle processes

• Identify potential compliance vulnerabilities and recommend corrective actions

• Design and conduct sustainability screens in MSCI for investments on behalf of clients and UCITS with sustainable investment mandates

• Investigate and resolve cases generated out of the firm's Market Abuse Surveillance system

• Contribute to ad hoc compliance team initiatives

Required Qualifications

• Bachelor's degree from an accredited institution

• 3+ years of experience in investment management or a related area

• Experience with Charles River Investment Management Solution (CRD/CRIMS) is preferred, or familiarity with rules-based logic within any Order Management System (OMS)

• Familiarity with regulatory frameworks (40 Act and UCITS)

• Proficiency in Microsoft Office applications, including Outlook, Teams, and Excel

• Entrepreneurial mindset with a proactive approach to problem-solving, innovation, and continuous improvement

• Exceptional analytical, problem-solving, and communication skills

• Meticulous attention to detail and organizational excellence

• High ethical standards and discretion when handling confidential information

• Collaborative mindset and ability to work effectively in team settings

• Ability to work onsite in our Baltimore office

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: $75-$90. 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.