Chief Compliance Officer

JW Michaels & Co.; Boston (MA); On-site; USD 180,000 - 280,000; Full time

Job summary

JW Michaels & Co. in Boston seeks a Chief Compliance Officer to lead the firm's regulatory program, oversee filings, and ensure ongoing adherence to securities laws. You will partner with GC and senior teams to drive risk-based compliance across investment advisory activities.

The role requires extensive experience in compliance for registered investment advisers, building training programs, and managing examinations, with a focus on culture and robust controls.

Qualifications

• 10+ years of relevant compliance, legal, or regulatory experience.
• 5+ years supporting a registered private equity investment adviser.

Responsibilities

• Assist the General Counsel and Chief Compliance Officer in the administration and ongoing enhancement of compliance program.
• Maintain and oversee compliance with the Investment Advisers Act of 1940, and other applicable securities laws and regulations.
• Monitor regulatory developments and evaluate their impact on the firm, recommending and implementing appropriate policy and procedural changes.
• Coordinate and support regulatory examinations, inquiries, and requests from the SEC, and other regulatory authorities.
• Lead the firm’s annual compliance review process, including risk assessments, testing, documentation, and remediation efforts.
• Help foster a culture of compliance throughout the organization.
• Oversee the preparation, review, and timely filing of Form ADV, Form PF, and other regulatory filings.
• Partner with legal, finance, investor relations, and operations teams to gather and validate information required for regulatory reporting.
• Maintain and enhance the firm’s Compliance Manual, Code of Ethics, and related policies and procedures.
• Develop and implement compliance training programs for employees globally.
• Identify, assess, and help manage conflicts of interest arising from investment activities, fundraising activities, portfolio company relationships, co-investments, continuation vehicles, and other firm initiatives.
• Oversee personal trading compliance and administration of the firm’s compliance technology platforms.
• Administer employee certifications, attestations, gifts and entertainment reporting, political contribution monitoring, outside business activities, and related compliance processes.
• Maintain and monitor restricted lists, watch lists, and information barrier procedures.
• Serve as the firm’s subject-matter expert on the SEC Marketing Rule and review marketing materials for regulatory compliance.
• Design and execute compliance testing and monitoring programs; manage the annual assessment under Rule 206(4)-7.
• Design and administer a compliance monitoring program with focus on risk and conflicts; oversee use of expert networks and information gathering.
• Prepare and present at regulatory risk committee meetings.
• Develop and execute an operating model leveraging external consultants, service providers, and technology solutions to maximize compliance effectiveness.

Skills

Compliance leadership

Regulatory knowledge

Policy development

Risk management

Regulatory examinations

Job description

Chief Compliance Officer for a Boston based VC firm and RIA.

Qualifications

Required

• Minimum 10 years of relevant compliance, legal, or regulatory experience.
• Minimum 5 years of experience supporting a registered private equity investment adviser.

Regulatory Compliance and Program Oversight

• Assist the General Counsel and Chief Compliance Officer in the administration and ongoing enhancement of compliance program.
• Maintain and oversee compliance with the Investment Advisers Act of 1940, and other applicable securities laws and regulations.
• Monitor regulatory developments and evaluate their impact on the firm, recommending and implementing appropriate policy and procedural changes.
• Coordinate and support regulatory examinations, inquiries, and requests from the SEC, and other regulatory authorities.
• Lead the firm’s annual compliance review process, including risk assessments, testing, documentation, and remediation efforts.
• Help foster a culture of compliance throughout the organization.

Regulatory Filings and Reporting

• Oversee the preparation, review, and timely filing of Form ADV, Form PF, and other regulatory filings.
• Partner with legal, finance, investor relations, and operations teams to gather and validate information required for regulatory reporting.

Compliance Policies, Procedures, and Training

• Maintain and enhance the firm’s Compliance Manual, Code of Ethics, and related policies and procedures.
• Develop and implement compliance training programs for employees globally.

Conflicts Management and Fiduciary Oversight

• Identify, assess, and help manage conflicts of interest arising from investment activities, fundraising activities, portfolio company relationships, co-investments, continuation vehicles, and other firm initiatives.

Code of Ethics and Employee Compliance

• Oversee personal trading compliance and administration of the firm’s compliance technology platforms.
• Administer employee certifications, attestations, gifts and entertainment reporting, political contribution monitoring, outside business activities, and related compliance processes.
• Maintain and monitor restricted lists, watch lists, and information barrier procedures.

Marketing and Advertising Reviews

• Serve as the firm’s subject-matter expert on the SEC Marketing Rule (Rule 206(4)-1 of the Advisers Act).
• Review marketing materials (including social media posts) prior to distribution to ensure compliance with applicable regulatory requirements.

Monitoring, Testing, and Risk Management

• Design and execute compliance testing and monitoring programs.
• Manage the firm’s Rule 206(4)-7 of the Advisers Act annual assessment.
• Conduct periodic risk assessments and forensic testing and identify opportunities to strengthen internal controls.
• Manage remediation efforts and track resolution of identified issues.
• Design and administer a compliance monitoring program, with particular focus on identifying risk and conflict areas requiring enhanced oversight.
• Oversee the firm’s use of expert networks and other information-gathering activities.
• Prepare and present at regulatory risk committee meetings.

Vendor and Technology Management

• Develop and execute an operating model that strategically leverages external consultants, service providers, and technology solutions to maximize the effectiveness and scalability of the compliance function.
• Direct and oversee third-party compliance projects.
• Drive the ongoing enhancement of the compliance program through process optimization, automation, data analytics, and emerging technologies, including AI.