Eubel Brady & Suttman Asset Management, Inc.

Location: Miamisburg, Ohio

Our Philosophy

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.

The Role

This is an exceptional opportunity for a seasoned investment advisory or wealth management professional—or an ambitious compliance practitioner—looking to take full ownership of a comprehensive compliance framework. In this role, you will be responsible for the administration, execution, and continuous enhancement of compliance programs across our SEC-registered investment adviser (RIA), registered investment company, and private investment funds.  This is a highly collaborative yet independent position.

The CCO serves as a trusted advisor to senior management and works closely with legal counsel, external service providers, auditors, and regulators. The ideal candidate thrives in a team environment, possesses strong self-motivation, and brings a proactive, solution-oriented mindset. 

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.

Skills & Qualifications

• 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 or Accounting, Paralegal certificate 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, specifically Greenboard or Hadrius.

To apply: Please email resume to Dawn Warrick at dawn@ebsinvests.com