Chief Compliance Officer

JW Michaels & Co.; New York (NY); Presencial; USD 250.000 - 420.000; Jornada completa

Descripción de la vacante

JW Michaels & Co., a New York-based asset management firm, seeks a Chief Compliance Officer to lead the firm's compliance program and ensure adherence to applicable regulatory requirements.

The role oversees policies, regulatory filings, examinations, and training, collaborating with Legal and other teams to maintain a robust, ethics-driven framework.

Formación

• Bachelor's degree required; JD preferred.
• 10+ years compliance experience within financial services, including prior senior leadership roles.
• Strong knowledge of applicable securities regulations.
• Proven experience managing regulatory examinations.
• Strong communication and leadership skills; high integrity and sound judgment.

Responsabilidades

• Oversee the design, implementation, and administration of the firm's overall compliance program.
• Maintain and update compliance policies and procedures, including the annual review process.
• Oversee regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries.
• Monitor regulatory developments and assess their impact on the firm's compliance framework.
• Review marketing materials and investor communications for regulatory compliance.
• Administer the firm's code of ethics, including personal trading and related policies.
• Provide compliance training to employees across the firm.
• Partner with Legal and other internal teams to identify and resolve compliance issues.

Conocimientos

Regulatory knowledge

Leadership

Communication

Integrity

Regulatory examinations

Educación

Bachelor's degree

JD preferred

Descripción del empleo

Our client, an asset management firm based in New York, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements.

Responsibilities

• Oversee the design, implementation, and administration of the firm's overall compliance program
• Maintain and update compliance policies and procedures, including the annual review process
• Oversee regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries
• Monitor regulatory developments and assess their impact on the firm's compliance framework
• Review marketing materials and investor communications for regulatory compliance
• Administer the firm's code of ethics, including personal trading and related policies
• Provide compliance training to employees across the firm
• Partner with Legal and other internal teams to identify and resolve compliance issues

Qualifications

• Bachelor's degree required; JD preferred
• 10+ years of compliance experience within financial services, including prior senior compliance leadership experience
• Strong knowledge of applicable securities regulations
• Proven experience managing regulatory examinations
• Strong communication and leadership skills
• High degree of integrity and sound judgment