Chief Compliance Officer

EBS is seeking a Chief Compliance Officer (CCO) to lead and manage our comprehensive compliance program. In this role, you will be directly responsible for the design, implementation, administration and continuous enhancement of the compliance programs for the firm's SEC-registered investment adviser (RIA), registered investment company, and private investment funds. This is a highly collaborative yet independent position; the ideal candidate thrives in a team environment, possesses strong self-motivation, and can execute in a proactive, hands-on manner. The CCO serves as a trusted advisor to senior management and works closely with legal counsel, service providers, auditors and regulators.

Key Areas of Responsibility

• Maintenance and continuous improvement of the firm's compliance program.
• Familiarity with different facets of the Investment and Wealth Management industry; hands-on experience in these areas is a plus.
• Broad knowledge of federal securities laws and regulations, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Conduct compliance reviews, monitoring activities, and testing designed to identify potential regulatory risks.
• Review advertising, correspondence, and other communications for regulatory compliance.
• Collaborate with business units to identify practical solutions that balance regulatory requirements and business objectives.
• Develop and deliver internal compliance training programs.
• Promote awareness of regulatory requirements and ethical business practices throughout the organization.
• Prepare reports and presentations for the Board of Trustees of the firm's mutual fund trust.
• Prepare and submit regulatory filings.
• Assess regulatory developments and firm initiatives and implement appropriate policy and procedural enhancements.
• Maintain current knowledge of industry requirements, compliance trends and best practices.
• Ongoing participation in industry round table discussions and continuous education opportunities is desired.

• Precision-Focused: Highly proficient with Microsoft Office, specifically Word and Excel, with a sharp eye for detail. Understands the importance of reviewing their work.
• Communication: Business-level writing skills for internal and external communications to colleagues, business partners (i.e., attorneys), and clients.
• Analytical Thinking: Demonstrated ability to independently research, interpret, and apply evolving SEC rules, regulations and industry guidance while exercising sound regulatory judgment.
• Education: Bachelor's degree in Finance, Accounting, Risk Management, Compliance, Law, Paralegal Studies or equivalent RIA industry experience.
• The "Fit": A high degree of professionalism, and a desire to build a long-term career within a stable, high-performance team.
• Extra: IACCP or CSCP designation or working toward it. Experience with compliance technology.

Pulled from the full job description

• Professional development assistance
• Tuition reimbursement
• 401(k)
• Health insurance
• 401(k) matching
• Paid time off
• Vision insurance, * 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Tuition reimbursement
• Vision insurance

Eubel Brady & Suttman (EBS) is an investment and wealth management firm committed to creating value for our clients through deep, long-term relationships. This is not an adage on our wall, but a fundamental belief that guides every decision we make. We operate as a true team, working hard to achieve our goals while making time to connect personally. We are incredibly mindful of the people we bring into our organization. EBS is not a "stop" along your career journey, but a destination. Because of the immense institutional knowledge and technical complexity involved in our work, we invest in professionals who are looking for a long-term professional home.