JW Michaels & Co. · 3 hours ago
Compliance Associate
Westchester County, NY
Full-time
Hybrid
Entry, Mid Level
2+ years expJW Michaels & Co. is a highly-regarded investment management firm seeking a compliance associate to join their dynamic team. The role involves supporting regulatory submissions, assisting with compliance certifications, and monitoring regulatory developments impacting fund operations.
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
Required
Bachelor's degree
2-4 years of experience in compliance or legal, (venture capital/private equity experience a plus)
Experience with the reporting system ComplySci
Strong understanding of or willingness to learn Investment Advisers Act requirements
Must be organized and detail organized
Excellent written and verbal communication skills
Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
Self-starter with ability to work independently and collaboratively
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
Company data provided by crunchbase