What are the responsibilities and job description for the Compliance Associate Director position at JW Michaels & Co.?
A highly regarded Registered Investment Advisor (RIA) is eager to welcome a dynamic Compliance Associate Director to their team.
Key Responsibilities :
- Regulatory Oversight : Continuously monitor and interpret changes to laws, regulations, and industry guidelines that are crucial to our investment advisory operations. Ensure strict adherence to SEC, FINRA, and other relevant regulatory bodies. Oversee and manage regulatory filings such as Form ADV, Form CRS, and necessary periodic disclosures.
- Compliance Program Development : Lead the design, implementation, and enhancement of the firm’s compliance policies and procedures. Conduct comprehensive risk assessments and ensure that robust controls are in place to mitigate compliance risks. Uphold the firm’s Code of Ethics and guarantee employee compliance.
- Testing and Monitoring : Develop and manage rigorous testing, surveillance, and monitoring programs to ensure ongoing compliance. Conduct internal audits and reviews to identify and rectify potential gaps or areas needing improvement.
- Advisory and Training : Act as a trusted advisor to senior leadership and employees regarding compliance matters. Create and deliver engaging training programs to enhance employee understanding of compliance requirements, ethics, and best practices.
- Incident Management : Investigate and resolve compliance-related incidents or breaches effectively. Collaborate with leadership to implement necessary corrective action plans.
- Records and Reporting : Maintain comprehensive and up-to-date compliance records, logs, and reporting systems. Prepare and present insightful compliance reports to senior leadership and relevant committees.
- Vendor and Third-Party Oversight : Ensure diligent due diligence and ongoing monitoring of third-party vendors and business partners.
Qualifications :
