Mar 13, 2023
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...
Corbyn Investment Management Inc.
Full time
Part time