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JW Michaels & Co. · 1 day ago

Deputy Chief Compliance Officer/Counsel

NYC Metro Area

Full-time

Onsite

Director/Executive

$500K/yr - $750K/yr

8+ years exp

JW Michaels & Co. is a leading $50B+ AUM investment management firm seeking a Deputy Chief Compliance Officer/Counsel with expertise in Investment Company Act of 1940 matters. This role focuses on overseeing regulatory compliance and advising the business on registered investment products, while ensuring alignment with compliance programs and governance.

ConsultingHuman ResourcesInformation TechnologyStaffing Agency

Responsibilities

Serve as a subject-matter expert on ’40 Act regulatory and compliance matters , including interval funds, BDCs, ETFs, and registered closed-end funds

Advise on fund launches, product structuring, exemptive relief, and ongoing regulatory obligations

Oversee and maintain compliance programs, policies, and procedures for registered products

Support board and committee governance, including preparation of materials and regulatory reporting

Interface with regulators (SEC), outside counsel, auditors, administrators, and service providers

Monitor regulatory developments and assess impact on existing and proposed products

Assist with examinations, regulatory inquiries, and internal reviews

Partner closely with investment, operations, legal, and distribution teams to ensure compliance alignment

Qualification

Investment Company Act expertise’40 Act compliance experienceSEC regulations knowledgeLegal degree (JD)Interval fundsBDCsETFsSound judgmentCommunication skillsWork independently