Compliance Associate
JW Michaels & Co.
Highly regarded investment management firm is seeking a Compliance Analyst/Associate to join their dynamic legal and compliance team in the NY office.
- 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
Vacancy posted 8 hours ago
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