Investment Compliance Associate jobs in United States
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JW Michaels & Co. ยท 3 days ago

Investment Compliance Associate

positionNYC Metro Area
timeFull-time
remoteOnsite
seniorityMid, Senior Level
money$150K/yr - $180K/yr
date4+ years exp

JW Michaels & Co. is an established asset management firm with over $60 billion in assets under management, seeking an Investment Compliance Professional to join their trading floor. The role involves managing pre-trade and post-trade alerts, ensuring compliance with regulatory requirements, and maintaining client restricted lists among other responsibilities.

ConsultingHuman ResourcesInformation TechnologyStaffing Agency

Responsibilities

Manage Pre-Trade and Post-Trade Alerts in Charles River (CRD)
Ensure trades comply with regulatory requirements and internal procedures
Review material compliance issues
Perform manual checks and analysis of partially automated compliance checks
Be part of the review process, including coding rules in Charles River
Manage the data exception process, and maintain relationships with Data and Technology
Responsible for reviewing, updating, and managing all new and amended client restricted lists
Complete ERISA and EU Risk Retention reviews
Manage the cross trade approval process
Ad-hoc projects related to the Investment Compliance program

Qualification

Charles River DevelopmentCompliance monitoring processesInvestment management processBloomberg applicationsFixed Income ProductsCommunication skillsIT/Technology skillsAdvanced degreeOrganizational skills

Required

4 - 7 years of experience as Compliance Professional with a focus on trading
Experience sitting on a trading desk and/or closely worked with traders daily
Charles River Development (CRD) experience is a must
Experience using Bloomberg and related applications
Understanding of investment management process
Understanding various compliance monitoring processes (Batch, Pre and Post Compliance)
Knowledge of Fixed Income Products, Bank Debt investments, Equities and Derivative Products
Strong communication skills, both verbal and written
Excellent organizational/time management skills

Preferred

Advanced degree, MBA or JD a plus
Strong IT/Technology skills desired

Company

JW Michaels & Co.

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JW Michaels & Co. is a staffing and recruiting company offering management and law staffing solutions.
dateFounded in 2010
location
New York, New York, USA
people-size51-200 employees
web-link
http://jwmichaels.com

Funding

Current Stage
Growth Stage

Leadership Team

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Justin Mandel
Co-Founder and Managing Partner
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Recent News

PR Newswire
JW Michaels Releases Salary Guide for Top-Tier Financial Services Positions
2025-01-22
Company data provided by crunchbase