Mar 13, 2023

Chief Compliance Officer

  • Corbyn Investment Management Inc.
Full time, Part time Executive Officer Operations

Job Description

Corbyn Investment Management, a growing investment advisory firm conveniently located in Greenspring Station in Lutherville, MD, is seeking a Chief Compliance Officer.


  • 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


  • 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.


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