Chief Compliance Officer
Corbyn Investment Management Inc.
Location: Lutherville, MD
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.
About Corbyn Investment Management
Corbyn Investment Management manages over $1 billion for a wide variety of separate account clients, Greenspring Fund (ticker: GRSPX) and Greenspring Income Opportunities Fund (ticker: GRIOX). Since being founded in 1973, our mission has been to generate strong, consistent investment results through a client specific combination of value-oriented equities and short duration, high-yield bonds.
Please forward resume to Elizabeth Swam at easwam@greenspringfund.com.