Chief 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 900 colleagues worldwide, all of whom are equity owners of the firm.

Position Overview

Brown Advisory is seeking a highly capable, experienced Chief Compliance Officer with a proven track record of building a strong compliance program, delivering sound advice in a high-growth business environment, and maintaining excellent relationships with internal business constituents, regulators and clients. In this role, a successful candidate will:

• Direct the oversight, management, development, implementation, monitoring and maintenance of the firm’s compliance program.
• Lead, build and maintain a high-caliber global compliance team capable of providing smart, flexible advice, while maintaining the highest level of ethical conduct.
• Deliver timely, pragmatic and clear advice, tailored to business objectives and informed by a reasoned analysis of regulatory risks.
• Act as the primary liaison with regulators, including coordinating examinations and inquiries.
• Ensure the firm’s compliance program is reasonably designed to ensure compliance with regulations through well-designed policies and the maintenance of controls designed to monitor the effectiveness of the compliance program.
• Utilize risk-based strategies for identifying compliance-related vulnerabilities and collaborate with senior business partners and other stakeholders to mitigate.

Qualifications:

• Bachelor's degree required. JD strongly preferred.
• 12+ years of experience with compliance requirements under the Investment Company Act and the Investment Advisers Act.
• Significant asset management compliance experience with deep knowledge of industry best practices.
• Substantial experience with delivering compliance advice to institutional, private client, and private fund/alternative investment businesses.
• Proficiency in Investment Advisers Act of 1940 and the Investment Company Act of 1940; subject matter proficiency in proprietary mutual funds, ETFs, and private funds.
• Experience advising a global business in navigating applicable regulations, including UK FCA.
• Ability to anticipate regulatory trends and issues and develop an organizational roadmap to align with these trends.
• Strong people leadership skills with the ability to manage a broad, diverse team; hire and retain talent; mentor, coach and nurture; and drive team members to grow and succeed.
• Ability to multi-task, prioritize and perform well under pressure.
• Enthusiasm for leading and collaborating with all levels of leadership in a dynamic, high-growth, entrepreneurial environment with evolving regulations, policies and procedures.
• Strong analytical ability, superb judgment and strong operational understanding of private client, fund and institutional investment managers.
• Ability to analyze and interpret complex and multifaceted issues and present findings clearly and succinctly to senior executives and boards of directors.
• Ability to develop and implement policies and procedures and draft disclosure documents and regulatory responses.
• Excellent written and verbal communication skills.
• Ability to make decisive, well-reasoned decisions.
• Demonstrated history of strong, constructive relationships with regulators.

Salary: $200k to $250k Commensurate with experience and location. This range 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
• Gym membership discounts
• Fitness event fee reimbursement
• Corporate 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.

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