Job Description

Chesapeake Search Partners has partnered with an established financial services firm in Baltimore, MD, to identify a detail-oriented and self-motivated Compliance Officer .

This individual will be responsible for administering the firm’s Code of Ethics, reviewing marketing materials and other collateral to ensure compliance with regulatory and policy requirements, supporting the development and execution of the firm’s Compliance Testing Program, and serving as a resource for general compliance matters.

The ideal candidate will possess all required qualifications, demonstrate strong ownership over their responsibilities, and work effectively under moderate supervision. The Compliance Officer must exhibit exceptional communication and organizational skills, attention to detail, a commitment to excellent client service, and a collaborative approach to risk reduction and continuous improvement of the firm’s compliance program.

Key Responsibilities:

• Administer the firm’s Code of Ethics program, including personal trading surveillance, gifts and entertainment, certifications and attestations, and new hire onboarding.
• Support the execution and ongoing enhancement of the firm’s Compliance Testing Program to identify and mitigate areas of risk.
• Review marketing materials for a broad range of investment solutions, including mutual funds, UCITS, alternative investments (private equity, hedge funds, and real estate), fixed income and equity strategies, and sustainable investment products, ensuring alignment with firm policies and SEC regulations.
• Conduct timely reviews of external materials such as RFPs, DDQs, client pitchbooks, and related documents on both a quarterly and ad hoc basis.
• Administer various compliance policies and procedures, including anti-money laundering (AML), material non-public information (MNPI), conflicts of interest, political contributions, and outside business activities.
• Remain current on evolving regulatory changes and industry trends to proactively adjust and strengthen the compliance program.
• Support internal and external audits and regulatory examinations, as needed.
• Perform additional general compliance responsibilities as assigned.

Qualifications:

• 4–6 years of experience in a compliance role within a registered investment advisor (RIA).
• Strong familiarity with SEC Marketing Rule requirements.
• Operational understanding of private client, institutional client, fund, and private equity investment management structures.
• Demonstrated ability to take ownership of responsibilities and operate effectively with moderate supervision.
• Strong multitasking and prioritization skills; ability to perform well under pressure.
• Flexibility to adapt to rapidly changing priorities and regulatory environments.
• Proven track record of providing well-reasoned, balanced compliance advice.
• Excellent written and verbal communication skills.
• Ability to work onsite at the firm's office location.

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