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Centurion Consulting Group

We are hiring a Chief Compliance Officer for a full time position in Hunt Valley, MD for independent Registered Investment Advisor (RIA).

What You’ll Do:

  • Serve as the Chief Compliance Officer for our investment advisory firm, reporting directly to the firm’s Majority Owner and Managing Partner.
  • Provide supervision for all access/supervised persons at the firm (currently 10 employees).
  • Drive change and transformation necessary to succeed in a dynamic regulatory environment and enable growth strategies of the business lines. 
  • Manage SEC examinations.
  • Review, update, and maintain the firm Policies or Procedures Manual.
  • Review, update, and maintain the firm Disaster Recovery Plan.
  • Regularly ensure that all employees abide by the firm’s Code of Ethics.
  • Offer ongoing education and training for all team members, especially as new rulings are established.
  • Serving as the firm’s internal reference for any compliance-related questions or issues, as well as a contact person for external compliance questions.
  • Independently manage the SEC relationship, including all regulatory requests.
  • Monitor state specific continuing education requirements.
  • Partner with the executive leadership and others to identify key risks and mitigating actions.
  • Maximize the tools and resources available to us from our third-party compliance consultant.
  • Maximize the use of our compliance technology subscriptions (SmartRIA).
  • In partnership with our Compliance Consulting Firm, support business teams (e.g., product, marketing, operations) with input on regulatory compliance considerations and implications of their work.
  • Maintain the Written Supervisory Procedures (WSP) and Compliance Manual.
  • Oversee the creation of trading desk/internal control procedures for Compliance and other departments.
  • Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed.
  • Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures.
  • Conduct and/or oversee periodic compliance testing and review following areas, among others: trading, trade reporting, review and approval of marketing, advertising, social media materials, and custody.
  • Partner with other departments to manage the retention of regulatory books and records pursuant to regulatory and business requirements.
  • Oversee completion of training, as required (e.g., Annual Compliance Meeting).

Who you are:

  • Highly ethical and possess high integrity.
  • Talented problem solver and risk manager, capable of understanding and internalizing business priorities and risk calibration.
  • Ability to continually learn new skills, embracing change in the securities industry, while working for a rapidly growing firm.
  • Capable of identifying conflicts of interest, followed by elimination, or documentation and mitigation.
  • 7+ years of relevant compliance experience working for a FINRA or SEC regulated firm.
  • Extensive knowledge of SEC rules and applicability of the rules to employee and firm activities.
  • Knowledge and in-depth familiarity with trading, customer suitability, and fiduciary requirements and/or related areas is important.
  • A solid understanding of the Investment Advisers Act of 1940.
  • Experience with Annual Amendment Filings and well as requirements for Other Than Annual Amendment Filings of form ADV.
  • Familiarity with Form ADV Part 1, ADV Part 2A and 2B, and Form CRS.
  • Experience monitoring and evaluating employee activities – e.g., outside account monitoring, outside business activities, personal securities trading, electronic communications retention and surveillance, new hire onboarding, off-boarding, and other requirements to which a Registered Investment Advisor is subject.

Bonus Points:

  • Series 66, JD, Series 24 or 26


  • 401(k)
  • 401(k) matching and profit sharing
  • Health insurance
  • Life insurance
  • Paid time off
  • Wellness Benefit

Position Details:

Clearance: N/A

US Citizenship or Authorization to work in US required

Travel: < 10% (CONUS)

Centurion Consulting Group, LLC is an Equal Opportunity Employer EOE M/F/D/V

No third parties or subcontractors

REF: JOB-4487