Compliance Specialist- Monitoring

2 weeks ago

Hartford CT, United States JW Michaels & Co. Full time

Well-regarded investment management firm is seeking an experienced Compliance Officer to join their dynamic team. This position leads the team responsible for all matters related to the implementation of the Firm's Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC Contributions, and other related policies and procedures (collectively, the “Policies”).

Primary Job Responsibilities
Manages compliance staff responsible for administering the Policies and contributes individually as needed. Interprets, advises, administers, and monitors the Policies; conducts inquiries and reviews, and maintains supporting files. Reviews and analyzes personal employee trading and exception reports to identify violations, warnings, or patterns.
Ensures that the Policies are designed to prevent and identify violations of securities laws and are fully implemented and operating effectively. Ensures that forensic testing protocols are functioning properly in compliance monitoring systems and manual calculations as required. Ensure that data feeds and reports to/from the STARCompliance system are complete and accurate.

Ideal Qualifications
~ Bachelor’s degree, preferably with business focus in accounting/finance. FINRA Series 7 or 24, a plus.
~ Minimum of 5-10 years of progressive experience at investment advisory firms.
~ Must have experience with the design and administration of advisers, mutual fund and broker-dealer codes of ethics, personal trading, and related policies, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
~3-5 years of previous experience managing people.
~ Strong communication skills, both written and verbal, are critical as this role requires enterprise-wide visibility.
~ Intermediate knowledge of MS Excel, MS Word and managing large amounts of numeric data.
~ Expertise in employee compliance systems, including STARCompliance, is strongly preferred. Experience in portfolio guidelines systems (Charles River, Bloomberg, BNY DRAS, etc.) a plus.
~ Strong analytical, problem-solving skills, comfortable analyzing large volumes of data, and attention to detail.
~ Ability to influence others to successfully implement compliance initiatives.
~ Ability to prioritize multiple tasks and work under pressure while maintaining attention to detail and collaborate with fellow team members to achieve objectives within the project timeline.


The position can sit in Hartford, Boston or their New York office.

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