What are the responsibilities and job description for the Compliance Associate position at JW Michaels & Co.?
NYC based investment manager ( >5B AuM) is seeking a Legal/Compliance Associate to join their growing team!
- Overseeing all aspects of contract management for research and data vendors. Responsibilities will include acting as the primary point of contact with vendors, collaborating with internal stakeholders, developing and improving contract-related processes, and managing contracts within a contract management system.
- Running ongoing compliance processes, including maintaining the compliance calendar and performing ongoing forensic testing.
- Reviewing and approving routine compliance-related requests, such as requests for consultations with industry experts.
- Working with compliance software, and liaising with employees on any technical questions or issues.
- Assisting with the completion and submission of regulatory filings.
- Collaborating with Legal and Compliance Team members on other additional ad-hoc projects.
- Bachelor's degree from an accredited college or university.
- 2 years industry experience as a law firm paralegal and/or as a compliance associate at an asset management firm, compliance consultant or financial services firm.
- Familiarity with the Investment Advisers Act and the compliance processes of registered investment advisers
