Job Description

Overview

Patient Capital Management, LLC is a team of investment professionals dedicated to maximizing the long-term wealth of its investors. We adhere to a value-driven, research-intensive investment process. We are patient, long-term investors who invest with a longer time horizon than the market, which we view as a competitive advantage. The Firm is located in downtown Baltimore.

Job Summary

This is an experienced position that oversees, develops, monitors, and executes the compliance program for Patient Capital Management.

The Ideal Candidate

• A detail-oriented self-starter with prior experience in the financial services industry
• Someone who exhibits sound judgment with the ability to prioritize, keep colleagues informed, and prepare for future initiatives
• Energetic and eager to tackle new projects and ideas
• Comfortable interacting with senior team members
• A team player capable of cultivating productive working relationships across the firm
• Thrives in a fast-paced environment
• Ability to contribute across many facets of the organization

Chief Compliance Officer duties

• Serve as the primary Compliance resource for the business and employees, and be responsible for the Compliance control structure.
• Continually review, enhance, and structure the Compliance Program to ensure compliance with applicable regulatory requirements.
• Effectively identify, communicate, and escalate compliance matters to company executive(s).
• Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact the business.
• Draft, enhance, implement, and monitor compliance policies and procedures, including those applicable to private funds.
• Analyze and enhance the Compliance testing program for compliance policies and procedures and identify opportunities for technology-based compliance solutions.
• Review all types of marketing, advertising and client service-related materials for compliance with IAA, and other regulatory requirements, and oversee review processes and controls.
• Design, assess, enhance, and monitor internal controls.
• Monitor portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
• Provide training on regulatory and compliance related matters and requirements.
• Prepare and submit regulatory filings and reports.

Requirements

• Strong knowledge of securities regulations as they relate to investments
• Knowledge of anti-money laundering / anti-terrorist financing laws related to investment management
• Experience developing, monitoring, and executing compliance programs
• Strong writing, editing, and verbal communication skills, with an emphasis on precision and brevity
• Excellent interpersonal skills
• Excellent organization and time-management skills
• Ability to contribute to finance and human resources efforts

This position is located in Baltimore, Maryland.

Interested candidates should send a resume and cover letter to careers@patientcm.com

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