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JW Michaels & Co. · 1 day ago

Director of Compliance

Stamford, CT

Full-time

Hybrid

Lead/Staff, Director/Executive

5+ years exp

JW Michaels & Co. is a highly regarded asset management firm seeking a Director of Compliance to oversee the implementation of compliance policies and protocols. The role involves leading a compliance team, ensuring adherence to the firm’s Code of Conduct and related policies, and managing compliance initiatives such as system implementations and upgrades.

ConsultingHuman ResourcesInformation TechnologyStaffing Agency

Hiring Manager

Aly B.

Responsibilities

Lead compliance team in administering Policies, providing guidance, monitoring, and maintaining documentation

Review employee trading and exception reports to identify potential violations and trends

Oversee employee reporting processes, ensuring accuracy, completeness, and follow-up

Ensure Policies and monitoring systems effectively prevent and detect compliance issues, including STARCompliance oversight

Maintain strong internal controls, data integrity, and documentation of procedures

Act as subject matter expert, recommending policy updates and system enhancements

Prepare reports and deliver ongoing training to support firm-wide compliance

Qualification

Compliance policy administrationSTARCompliance system expertiseInvestment Advisers Act knowledgeData analysisTeam managementWritten communicationVerbal communicationProblem-solvingAttention to detailCollaboration

Required

Bachelor's degree, preferably in business, accounting, or finance

5–10 years of progressive experience at investment advisory firms, including 3–5 years managing teams

Experience designing and administering adviser, mutual fund, broker-dealer, and personal trading compliance policies

strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940

Strong written and verbal communication skills, with enterprise-wide visibility

ability to influence and implement compliance initiatives

Proficient in MS Excel, Word, and handling large datasets

Strong analytical, problem-solving skills, attention to detail, and ability to prioritize multiple tasks under pressure while collaborating effectively with team members