Managing Director

JW Michaels & Co.; New York (NY); On-site; USD 220,000 - 380,000; Full time

Job summary

JW Michaels & Co. in New York, NY seeks a senior broker-dealer compliance leader with 12–15 years of FINRA experience to guide policy development, regulatory filings, training, and testing.

You will oversee Americas distribution compliance and lead a global marketing review under SEC and FINRA standards. Ideal candidate combines deep securities law knowledge, Series 24 certification, and proven people management to mentor teams, drive change, and shape the firm’s compliance strategy in a

Qualifications

• 12 to 15 years of FINRA broker-dealer compliance experience.
• Deep knowledge of securities laws for FINRA members and SEC-registered advisers.
• Series 24 required.
• Proven team management.

Responsibilities

• Broker-dealer compliance for the limited purpose BD: policies and procedures, filings, training, compliance testing, strategic initiatives.
• Americas distribution compliance, including Canada and Brazil: lobbyist registrations, fund registrations, private launch support.
• Global marketing review: leads the team that reviews and approves marketing materials, digital content, presentations, and RFPs under the SEC Marketing Rule and FINRA standards.
• Scope extends beyond distribution; the pitch is leadership, mentorship, and driving change inside a rapidly growing firm.

Skills

FINRA broker-dealer compliance

Leadership

Regulatory strategy

Education

FINRA Series 24

Job description

• Broker-dealer compliance for the limited purpose BD: policies and procedures, filings, training, compliance testing, strategic initiatives.
• Americas distribution compliance, including Canada and Brazil: lobbyist registrations, fund registrations, private launch support.
• Global marketing review: leads the team that reviews and approves marketing materials, digital content, presentations, and RFPs under the SEC Marketing Rule and FINRA standards.
• Scope extends beyond distribution; the pitch is leadership, mentorship, and driving change inside a rapidly growing firm.

Requirements: 12 to 15 years of FINRA broker-dealer compliance, institutional background preferred; deep knowledge of securities laws for FINRA members and SEC-registered advisers; Series 24 required; proven team management.