2 Officer jobs

Deputy Chief Compliance Officer – Top Employer/Great Culture/Golden Opportunity   At SageSpring Wealth Partners, we understand that success comes from great partnerships, and great partnerships start with strong collaborations. We’re looking for a Deputy Chief Compliance Officer with broad SEC-RIA compliance expertise, who brings a collaborative spirit to their interactions and partnerships across multiple levels of the firm, and with the successful expectation of succeeding our Chief Compliance Officer within the next fiscal year.     About Us   SageSpring Wealth Partners is a  Forbes’ Best-In-State  Wealth Advisors recipient,  Nashville Business Journal’s #1 Mid-Sized Business Culture (2021), and a Tennessean Top Workplace for the last three consecutive years. With more than 40 wealth teams covering five states, our client-focused approach continues to help drive our growth across the country. We listen to our clients to understand their lives, creating...

Corbyn Investment Management, a growing investment advisory firm conveniently located in Greenspring Station in Lutherville, MD, is seeking a Chief Compliance Officer.   Responsibilities Develop, implement and enforce compliance policies and procedures Ensure policies and procedures are up to date with current, new or amended rules and regulations or changes in the firm’s business operations Keep current on recent compliance and regulatory issues, trends and developments Perform forensic testing and surveillance of firm-wide operational activities Complete annual risk assessment and annual review of compliance program Maintain a compliance regulatory calendar Implement and enforce the Code of Ethics Conduct a compliance review of all marketing and client communications Serve as primary point of contact for regulators and third-party service providers for the firm’s two mutual funds Prepare various regulatory reports, including Form ADV, Form CRS...