Hiring: Compliance Associate Company: Alexander Chapman Location: Baltimore, MD Job Posted Time: 2026-09-11 10:21:40 About the job Experience: •5+ years of compliance experience within an RIA, broker-dealer, or similar regulated financial institution Required Skills: •Monitor and test compliance with the Investment Advisers Act •Maintain compliance policies, procedures, and records •Review marketing materials, communications, and account activity •Administer the Code of Ethics and personal trading program •Prepare regulatory filings, including Form ADV •Support SEC examinations and internal audits Qualifications: •Strong knowledge of the Investment Advisers Act of 1940 •Strong communication, judgment, and attention to detail •Demonstrated capacity to work independently and take ownership of compliance initiatives Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!