What are the responsibilities and job description for the Compliance Associate position at JW Michaels & Co.?
Highly regarded investment management firm is seeking a Compliance Associate to join their dynamic team in their Westchester office.
They are working on a hybrid schedule.
Responsibilities:
- Support preparation and filing of Form ADV, Form PF, and other regulatory submissions for firm's registered investment adviser entity
- Monitor regulatory developments and help assess impact on fund operations and advisory activities
- Maintain compliance calendars and tracking systems
- Code of Ethics & Personal Trading
- Experience with ComplySci the Firm's code of ethics software
- Monitor compliance with Code of Ethics requirements and restricted lists
- Maintain records of personal securities transactions and holdings reports
- Maintain restricted securities list and other monitoring logs
- AML
Qualifications:
- Bachelor's degree with strong acaedemic standing
- 2-4 years of experience in compliance, legal, audit, or fund administration (venture capital/private equity experience a plus)
- Experience with the reporting system ComplySci a big plus
- Strong understanding of or willingness to learn Investment Advisers Act requirements
- Excellent written and verbal communication abilities
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)