Compliance Associate

JW Michaels & Co.; New York (NY); On-site; USD 70,000 - 95,000; Full time

Job summary

JW Michaels & Co. seeks a Compliance Associate to join its compliance team in New York. The role offers hands-on training and growth opportunities across a broad compliance program.

The successful candidate will review marketing materials for SEC Marketing Rule compliance, support regulatory filings, and assist with ethics administration and policy maintenance in a collaborative environment.

Qualifications

• 1–2 years of compliance experience at an asset manager or compliance consulting firm.
• Exposure to the Investment Advisers Act and marketing review experience strongly preferred.
• Experience with ComplySci or similar compliance systems a plus.

Responsibilities

• Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
• Support trade operations and assist with the preparation of regulatory filings
• Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
• Assist with the maintenance and updating of compliance policies and procedures
• Support vendor onboarding and related due diligence
• Partner with internal teams to address day-to-day compliance questions

Skills

Compliance experience

Investment Advisers Act exposure

Marketing review experience

ComplySci exposure

Detail oriented

Written and verbal communication

Tools

ComplySci

Job description

Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands‑on training and room to grow.

Responsibilities

• Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule
• Support trade operations and assist with the preparation of regulatory filings
• Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting
• Assist with the maintenance and updating of compliance policies and procedures
• Support vendor onboarding and related due diligence
• Partner with internal teams to address day-to-day compliance questions

Qualifications

• 1–2 years of compliance experience at an asset manager or compliance consulting firm
• Exposure to the Investment Advisers Act and marketing review experience strongly preferred
• Experience with ComplySci or similar compliance systems a plus
• Highly organized and detail-oriented, with strong written and verbal communication skills
• Eager to learn and grow within a collaborative team environment