Compliance Analyst — Trade Surveillance & AML/KYC

JW Michaels & Co.; United States; Presencial; USD 65 000 - 90 000; Tempo integral

Resumo da oferta

JW Michaels & Co. is seeking a Compliance Analyst to join a strong regulatory compliance team in Fort Worth, TX. The role involves supporting trading surveillance, privacy controls, regulatory filings, and compliance trainings.

The ideal candidate will have 2–4 years of relevant investment advisory experience, familiarity with broker-dealer and fund regulations, and strong communication and organizational skills. This in-office position requires 3 days in the office weekly.

Qualificações

• Effective written and verbal communication skills.
• Strong interpersonal skills and teamwork abilities.
• Organized and thorough with sound judgment in risk-related matters.
• Ability to learn and use emerging technologies (including AI tools) to support compliance workflows.

Responsabilidades

• Assist with monitoring trading regulations and trade surveillance activities.
• Help manage confidential information and maintain privacy standards.
• Support compliance efforts in marketing, disclosures, and communication.
• Assist with preparing and organizing regulatory filings.
• Support portfolio compliance reviews and documentation.
• Help maintain code of ethics records and compliance procedures.
• Participate in compliance testing and provide administrative support.
• Help manage information security and privacy protocols.
• Support AML and KYC data collection and review.
• Assist in organizing compliance training sessions.
• Contribute to maintaining daily operational processes and recordkeeping.
• Help update and maintain compliance policies and procedures.
• Assist with internal business communications and documentation.

Conhecimentos

Written & verbal communication

Interpersonal skills

Organized & thorough

Ability to learn AI tools

Time management

Risk awareness

Formação académica

Undergraduate degree

Ferramentas

Excel

PowerPoint

Word

Outlook

Descrição da oferta de emprego

JW Michaels & Co. is seeking a Compliance Analyst to join a strong regulatory compliance team in Fort Worth, TX. The role involves supporting trading surveillance, privacy controls, regulatory filings, and compliance trainings.

The ideal candidate will have 2–4 years of relevant investment advisory experience, familiarity with broker-dealer and fund regulations, and strong communication and organizational skills. This in-office position requires 3 days in the office weekly.