Joey Martin
Compliance Officer @Brown Advisory
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WORK HISTORY
Compliance Officer @Brown Advisory
Contributes to the firm’s Code of Ethics compliance program, including personal trading, new colleague onboarding, conflicts of interests, evaluating and processing COE related activities • Administers the investment guideline monitoring process, including but not limited to pre-trade exception resolution, post trade analysis, and rule coding within the OMS (Charles River) • Resolves investment guideline errors to ensure compliance with client guidelines and regulatory requirements • Conducts reviews and assessments of the firm’s compliance program, order management process, and trade execution • Maintains GIPS compliant presentations, materials, policies, and procedures for all asset strategies • Liaises with 3rd party verifiers to complete the annual GIPS verification audit • Performs compliance program testing procedures • Supports preparation for regulatory filings and exams • Conducts ongoing compliance program assessments • Reviews, revises, and adopts policies and participates in corresponding testing plans • Assists with strategy compliance reviews • Partners with Operations, Systems Administration, the investment teams and other constituents to ensure continual improvement of compliance monitoring systems, processes and oversight • Leads special projects and supports other compliance program initiatives where needed
EDUCATION
Loyola University Maryland
Master of Science - MS
Bucknell University
Bachelor of Science (B.S.)
University of Baltimore School of Law
Doctor of Law - JD
Trinity Preparatory School
High School
ABOUT JOEY MARTIN
Associate Strategic Advisor at Brown Advisory
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