Senior 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.

Position Summary

Brown Advisory is seeking an engaged, detail oriented and self-motivated Senior Compliance Analyst to join the firm’s Compliance team. The Senior Compliance Analyst will be responsible for administering the firm’s Code of Ethics, reviewing marketing materials and other collateral for compliance with regulatory and policy requirements, supporting the administration and ongoing development of the firm’s compliance testing program, and serving as a source of general compliance advice. The ideal candidate will possess all of the required qualifications, be self-motivated, and reflect ownership over given responsibilities while working under moderate supervision.

Duties of this position include, but not limited to:

·         Administer the firm’s Code of Ethics compliance program, including personal trading surveillance, gifts & entertainment, certifications & attestations, and new colleague onboarding.

·         Execute and assist in the  performance of the firm’s Compliance Testing Program to identify and account for areas of risk, including supporting the closing out of recommendations.

·         Review marketing materials for a range of investment solutions, including mutual funds, UCITS, alternative asset classes (private equity, hedge funds, and real estate investments), fixed income and equity strategies, and sustainable investment solutions in accordance with regulatory guidelines.

·         Perform timely reviews of externally facing collateral such as RFPs, DDQs, client pitch books, and related materials on a quarterly and ad hoc basis.

·         Administer the firm’s compliance policies and procedures, including but not limited to anti-money laundering (AML), material non-public information (MNPI), conflicts of interest, political contributions, and outside business activities.

·         Other general compliance roles and responsibilities, including support of internal and external audits and examinations as necessary.

Job requirements Include:

·         2-4 years of experience in a compliance role with a registered investment advisor

·         Familiarity with SEC Marketing rule requirements

·         Strong operational understanding of private client, institutional client, fund, and private equity investment managers.

·         Ability to demonstrate ownership over given responsibilities while working under moderate supervision

·         Ability to multi-task, prioritize and perform well under pressure

·         Ability to adapt to rapidly changing priorities

·         A track record of providing well-reasoned, balanced compliance advice

·         Excellent written and verbal communication skills

·         Ability to work in our Baltimore office five days a week

MD Salary: $70-85k. Commensurate with experience and location. Does not include bonus or long term incentive eligibility (if applicable).

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).

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.