Senior Compliance Manager, Hedge Fund – Broad Impact

JW Michaels & Co.; Chicago (IL); On-site; USD 140,000 - 220,000; Full time

Job summary

JW Michaels & Co. in Chicago seeks a Senior Compliance Manager to lead a lean compliance team, owning core programs and providing regulatory guidance with direct access to senior leadership.

You will partner with Legal, Trading, Operations, Investor Relations and oversee Form ADV, Form PF, Code of Ethics administration, personal trading surveillance, marketing rule compliance, and regulatory testing to support a growing platform.

Qualifications

• 7+ years of compliance experience within hedge funds or asset managers.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC requirements.
• Experience with Form ADV, Form PF, Code of Ethics administration, personal trading surveillance, marketing rule compliance.
• Familiarity with SEC examinations and compliance monitoring programs.
• Excellent analytical, communication, and problem-solving skills.
• Ability to build strong relationships across Legal, Trading, Operations, Investor Relations, and senior business leaders.

Responsibilities

• Own and manage key components of the firm's compliance program, including: Personal trading monitoring; Outside business activity reviews; Marketing and investor communications review; Vendor and counterparty due diligence; Regulatory filings and examinations.
• Conduct ongoing compliance testing, monitoring, and periodic reviews to identify risks and enhance existing controls.
• Assist in the development, implementation, and maintenance of firm policies and procedures.
• Support employee compliance training and promote a strong culture of ethics and regulatory awareness.
• Respond to regulatory inquiries and assist with SEC examinations and audit readiness.
• Help build and improve compliance infrastructure, workflows, and technology to support the firm's growth.
• Advise internal stakeholders on regulatory matters with practical, business-focused guidance.

Skills

Compliance experience

Hedge fund background

Regulatory knowledge

Analytical skills

Job description

JW Michaels & Co. in Chicago seeks a Senior Compliance Manager to lead a lean compliance team, owning core programs and providing regulatory guidance with direct access to senior leadership.

You will partner with Legal, Trading, Operations, Investor Relations and oversee Form ADV, Form PF, Code of Ethics administration, personal trading surveillance, marketing rule compliance, and regulatory testing to support a growing platform.