What are the responsibilities and job description for the Associate Director-Compliance position at JW Michaels & Co.?
Highly regarded RIA is seeking a Compliance Director to join their team in their San Francisco office.
Regulatory Oversight :
Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms. o Ensure compliance with SEC, FINRA, and other applicable regulatory bodies. o Oversee regulatory filings, including Form ADV, Form CRS, and other periodic disclosures.
Compliance Program Development : o Design, implement, and enhance the firm’s compliance policies and procedures. o Conduct risk assessments and ensure controls are in place to mitigate potential compliance risks. o Maintain the firm’s Code of Ethics and ensure employee adherence.
- Testing and Monitoring : o Develop and oversee testing, surveillance, and monitoring programs to ensure ongoing compliance. o Perform internal audits and reviews to identify potential gaps or areas for improvement.
Advisory and Training :
Serve as a trusted advisor to senior leadership and employees on compliance matters.
Develop and deliver training programs to educate employees on compliance requirements, ethics, and best practices.
Incident Management : o Investigate and resolve compliance-related incidents or breaches. o Partner with leadership to implement corrective action plans as necessary.
Qualifications
