JW Michaels & Co. · 19 hours ago
Compliance Officer
San Francisco Bay Area
Full-time
Onsite
Mid, Senior Level
4+ years expJW Michaels & Co. is a San Francisco based venture capital firm seeking a mid/senior level Compliance Officer to join their growing team. The role involves enhancing the firm's compliance program, promoting a strong culture of compliance, and ensuring adherence to regulatory requirements.
ConsultingHuman ResourcesInformation TechnologyStaffing Agency
Hiring Manager
Scott Johnson
Responsibilities
Enhance and review the firm’s existing compliance program, including updating current firm policies and procedures and ensuring adherence to current regulatory requirements
Promote and maintain a strong culture of compliance, including ongoing education for firm personnel
Assist in the preparation of required regulatory filings, including Form ADV, Form PF and other SEC and state filings, as applicable
Document and maintain various trackers and approval logs related to policies and procedures
Review and approve the firm’s marketing materials
Partner closely with our compliance consultant on annual, quarterly, and monthly reviews, including executing testing, and ensuring the firm maintains an effective and well-documented compliance program
Administer the firm’s Compliance Manual, including personal securities trading reviews, outside business activity approvals, gift & entertainment monitoring and political contribution tracking
Review investor communications, including LP updates, reporting and data room materials to ensure consistency with regulatory standards and fund documents
Ensure cybersecurity and IT policies align with current best practice
Qualification
Required
4-10yrs exp
Consulting and/or inhouse experience (financial services). Ideally having PE, VC and/or asset manager compliance experience
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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