Growth‑Oriented Compliance Associate – Asset Management

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

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.