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JW Michaels & Co. · 4 hours ago

Compliance Associate

Westchester County, NY

Full-time

Hybrid

Entry, Mid Level

2+ years exp

JW Michaels & Co. is a leading Venture Capital firm seeking a Compliance Associate to join their dynamic team in the Westchester office. The role involves supporting regulatory submissions, monitoring compliance with ethical standards, and maintaining compliance records.

ConsultingHuman ResourcesInformation TechnologyStaffing Agency

Hiring Manager

Jamie Weiss

Responsibilities

Support preparation and filing of Form ADV, Form PF, and other regulatory submissions for firm's registered investment adviser entity

Assist with compliance certifications for partners and portfolio managers

Monitor regulatory developments and help assess impact on fund operations and advisory activities

Maintain compliance calendars and tracking systems

Code of Ethics & Personal Trading

Experience with ComplySci the Firm's code of ethics software

Monitor compliance with Code of Ethics requirements and restricted lists

Maintain records of personal securities transactions and holdings reports

Maintain restricted securities list and other monitoring logs

Anti-Money Laundering & Sanctions

Qualification

ComplySciCompliance experienceInvestment Advisers ActMicrosoft Office SuiteOrganizedWritten communicationVerbal communicationDetail orientedSelf-starter

Required

Bachelor's degree with strong academic standing

2-4 years of experience in compliance, legal, audit, or fund administration (venture capital/private equity experience a plus)

Experience with the reporting system ComplySci a big plus

Strong understanding of or willingness to learn Investment Advisers Act requirements

Excellent written and verbal communication abilities

Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)

Self-starter with ability to work independently and collaboratively

Detail oriented and extremely organized

Company

JW Michaels & Co.

JW Michaels & Co. is a staffing and recruiting company offering management and law staffing solutions.

Founded in 2010

New York, New York, USA

51-200 employees

http://jwmichaels.com

Funding

Current Stage

Growth Stage

Leadership Team

Justin Mandel

Co-Founder and Managing Partner

Recent News

PR Newswire

JW Michaels Releases Salary Guide for Top-Tier Financial Services Positions

2025-01-22

Company data provided by crunchbase