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Senior Compliance Associate/Officer - California, United States - JW Michaels & Co.
Description
The candidate should have at least 3-5+ years of experience, preferably at a private fund or major consulting firm. The individual must be very attentive to details, have strong writing skills, be able to craft compliance policies and procedures, and excel at project management.
Will be working as part of a 2 person compliance team.
Responsibilities:
Develop, test, and maintain policies and procedures for applicable regulatory and compliance requirements.
Manage and monitor the firm's compliance software in order to ensure adherence with the firm's Code of Ethics and facilitate employee onboarding.
Assist reviews of marketing materials, valuation documents, and expense allocations.
Oversee the firm's compliance obligations regarding privacy laws, including GDPR and CCPA/CPRA.
Manage and assist with the firm's compliance risk assessment and proactively track potential changes.
Oversee regulatory filings and registrations including Form ADV and Form PF, among others.
Prepare for and assist with examinations or investigations conducted by regulators or other external parties.
Maintain current knowledge of investment advisory laws, regulations, enforcement actions, and regulatory guidance.
Experience and Skills:
Bachelor's degree in business, finance, or relevant discipline preferred.
Knowledge of federal and state securities and investment laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Exchange Act of 1934.
Outstanding written and oral communication skills, including the ability to liaise across multiple departments to facilitate implementation and development of the compliance program and risk assessment.
