Chief Compliance Officer

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 and 13F and file with the SEC
• Renew notice filings in each state and IA representatives U-4s
• Manage continuing education requirements for IA representatives
• Maintain firm’s compliance books and records
• Assist with GIPs compliance verification procedures and controls

 Qualifications

• Bachelor’s degree
• 5 -10 years’ experience in Financial Services, specifically working with registered investment advisers
• Served as a CCO or in a compliance function for a registered investment adviser
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Familiarity with regulatory filings
• Detail-oriented, organized and able to set priorities
• Ability to think critically and identify and analyze problems independently
• Strong communication skills
• Ability to work independently as well in a team environment
• Ability to work successfully in a small company environment including willingness to contribute to other areas of the firm
• Strong ethical commitment
• Knowledge of basic Microsoft Office applications (Excel, Word, Power Point, Teams, etc.)

 Schedule:  Part-time/Full-time with other duties and responsibilities

 Salary and Benefits:  Commensurate with experience.  In addition to salary, benefit package includes paid major holidays, vacation/sick time, health and dental insurance, and a retirement plan.