Compliance Associate
JW Michaels & Co.
New York City Metropolitan Area0–2 yrs1h agovia LinkedIn
About the Role
Our client, a rapidly growing asset management firm based in New York, is seeking a Compliance Associate to join its compliance team. This is a great opportunity for an early-career professional to build a strong foundation across a broad compliance program, with hands-on training and room to grow.
Key Responsibilities
- Conduct frontline review of marketing materials, including pitch decks and advertisements, for compliance with the SEC Marketing Rule.
- Support trade operations and assist with the preparation of regulatory filings.
- Administer the firm’s code of ethics, including personal trading, gifts and entertainment, and political contribution reporting.
- Assist with the maintenance and updating of compliance policies and procedures.
- Support vendor onboarding and related due diligence.
- Partner with internal teams to address day-to-day compliance questions.
Requirements & Tech Stack
- Bachelor’s degree required.
- 0–2 years of compliance experience at an asset manager or compliance consulting firm.
- Exposure to the Investment Advisers Act and marketing review experience strongly preferred.
- Experience with ComplySci or similar compliance systems a plus.
- Highly organized and detail-oriented, with strong written and verbal communication skills.
- Eager to learn and grow within a collaborative team environment.