JW Michaels & Co. · 8 hours ago
Director of Compliance
New York, NY
Full-time
Hybrid
Director/Executive
10+ years expJW Michaels & Co. is a highly regarded asset management firm seeking a leader to oversee compliance initiatives. The role involves guiding policy administration, managing compliance protocols, and ensuring adherence to the firm's Code of Conduct and Ethics.
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
Required
Bachelor's degree, preferably in business, accounting, or finance; FINRA Series 7 or 24 a plus
10–15 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; expertise with compliance systems such as STARCompliance preferred; familiarity with portfolio guideline systems a plus
Strong analytical, problem-solving skills, attention to detail, and ability to prioritize multiple tasks under pressure while collaborating effectively with team members
Preferred
FINRA Series 7 or 24 a plus
Expertise with compliance systems such as STARCompliance preferred
Familiarity with portfolio guideline systems a plus
Company
JW Michaels & Co.
JW Michaels & Co. is a staffing and recruiting company offering management and law staffing solutions.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Justin Mandel
Co-Founder and Managing Partner
Recent News
2025-01-22
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