Senior Compliance Leader, Investment Management

JW Michaels & Co.; Chicago (IL); On-site; USD 140,000 - 240,000; Full time

Job summary

JW Michaels & Co. in Chicago seeks a Senior Compliance Officer to manage the day-to-day compliance program and a small team. You will oversee risk assessments, policy administration, and regulatory filings to support fund programs and governance.

The role requires extensive experience with the Investment Company Act of 1940 and the Investment Advisers Act of 1940, along with leadership of a compliance team and effective communication with boards.

Qualifications

• 10+ years’ experience as a compliance professional at an SEC-registered investment manager or SEC staff
• 3+ years’ experience in investment company compliance
• Strong understanding of Investment Company Act of 1940 and Investment Advisers Act of 1940

Responsibilities

• Oversee day-to-day compliance program management and guide a small team
• Lead risk assessments, testing, and policy administration
• draft and update compliance policies and respond to staff inquiries

Skills

Compliance oversight

Regulatory knowledge

Staff leadership

Job description

JW Michaels & Co. in Chicago seeks a Senior Compliance Officer to manage the day-to-day compliance program and a small team. You will oversee risk assessments, policy administration, and regulatory filings to support fund programs and governance.

The role requires extensive experience with the Investment Company Act of 1940 and the Investment Advisers Act of 1940, along with leadership of a compliance team and effective communication with boards.