Compliance Associate
JW Michaels & Co., New York, NY, United States
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)
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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)
#J-18808-Ljbffr