Deputy Chief Compliance Officer
JW Michaels & Co.
A leading investment firm is seeking an experienced compliance professional to serve as Director of Compliance or Deputy Chief Compliance Officer. This individual will work closely with senior legal and compliance leadership to oversee the firm's compliance program, independently managing day-to-day operations and serving as a trusted strategic advisor. Responsibilities: Support administration and enhancement of the firm's compliance program Lead annual compliance review and risk assessment processes Oversee regulatory filings, reporting, and examinations Maintain compliance policies, procedures, and the Code of Ethics Identify and manage conflicts of interest Manage outside compliance consultants and vendors Qualifications: Bachelor's degree required, advanced degree a plus 10+ years of relevant compliance, legal, or regulatory experience Experience supporting a registered investment adviser Strong knowledge of applicable securities regulations Experience with regulatory filings, compliance reviews, and Code of Ethics administration Strong organizational, analytical, and project management skills #J-18808-Ljbffr
Vacancy posted 17 hours ago
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