Compliance at JW Michaels & Co. Union City, New Jersey

Compliance Analyst/Associate

Highly regarded investment management firm is seeking a Compliance Analyst/Associate to join their dynamic legal and compliance team in the NY office.

Responsibilities:

• Assist with filing of Form ADV, Form PF, and other regulatory submissions
• Assist with compliance certification
• Maintain compliance calendars and tracking systems
• Monitor regulatory developments and help assess impact on fund operations and advisory activities
• Code of Ethics & Personal Trading
• Monitor compliance with Code of Ethics requirements and restricted list
• Maintain records of personal securities transactions and holdings report

Qualification:

• Bachelor's degree
• 2-4 years of experience in a compliance role at an investment management firm
• Strong understanding of Investment Advisers Act requirements
• Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
• Excellent communication skills
• Strong organizational skills