Deputy Chief Compliance Officer

2 days ago


Dallas, United States JW Michaels & Co. Full time

U.S. headquartered(global) private equity firm is searching for experienced compliance professional to serve as Deputy CCO Position can sit in their Los Angeles or Dallas office.


  • Bachelor’s degree with a strong record of academic achievement (3.5 GPA and above)
  • 10+ years of experience working exclusively in private equity
  • Law degree/big law training (funds/IM) is a plus
  • Demonstrated knowledge of laws related to U.S. Registered Investment Advisors
  • Demonstrated knowledge of X-U.S. laws related to alternative investor regulatory and compliance requirements
  • Knowledge of capital markets functionality preferred
  • Manage and review regulatory filings (SEC, international, regional licensing and registrations)
  • Oversee employee trading and related activities to ensure compliance with firm policies
  • Manage internal and external audits and reviews of the firm’s compliance program
  • Oversee “know your customer” and anti-money laundering processes and conduct due diligence on potential investors and counterparties
  • Draft corporate, partnership and limited liability company resolutions and authorities
  • Manage and track entities and director and officer updates
  • Work with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements
  • Review and develop Registered Investment Adviser Compliance Policies and Procedures and Code of Ethics, and assist and identify areas where policies and procedures need to be developed or amended


  • JW Michaels

    2 days ago


    dallas, United States JW Michaels & Co. Full time

    U.S. headquartered(global) private equity firm is searching for experienced compliance professional to serve as Deputy CCO! Position can sit in their Los Angeles or Dallas office.Bachelor’s degree with a strong record of academic achievement (3.5 GPA and above)10+ years of experience working exclusively in private equityLaw degree/big law training...


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