Chief Compliance Officer

JW Michaels & Co.; New York (NY); On-site; USD 250,000 - 420,000; Full time

Job summary

JW Michaels & Co., a New York–based asset management firm, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements. You will oversee the design and administration of the firm's compliance program, manage regulatory examinations, review marketing materials, and train employees across the organization.

This role requires a JD or equivalent, 10+ years in financial services compliance, and strong leadership to partner

Qualifications

• Bachelor's degree required; JD preferred.
• 10+ years of compliance experience in financial services.
• Proven experience managing regulatory examinations.

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
• Overside 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

Skills

Regulatory compliance

Leadership

Securities regulations

Regulatory examinations

Policy development

Training

Education

Bachelor's degree

Juris Doctor (JD)

Job description

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
• Overside 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