Compliance Associate

1 week ago

Charlotte, United States JW Michaels & Co. Full time

Highly Regarded investment management firm is seeking a Compliance Associate to join their team.


Responsibilities include but not limited to:

Oversees the legal and compliance affairs of the Firm and the Funds it manages. This individual will support the compliance team on a rich variety of compliance related matters. Responsibilities will include:


  • Implementing Compliance policies, including those involving the Code of Ethics, employee certifications, regulatory filings, and document retention.


  • Monitoring personal and firm trading, restricted list maintenance, the upkeep of various logs, heavy writing, document review and upload, call monitoring, expert network approvals, and regular communications with third party brokerage firms.


  • Assisting with the annual review and training of compliance policies, as well as the reviews of the compliance program and regulatory developments for Compliance Committee meetings.


Skills and Requirements


• 2-4 years of relevant experience within a financial institution, accounting or consulting firm, or regulatory agency

• Excellent interpersonal and communication skills (written and verbal)

• Strong analytical skills, attention to detail, well organized, and ability to multi-task

• Able to work well under pressure in a fast-paced environment

• Must be a self-starter, independent worker and quick learner

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