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Compliance Officer

2 months ago

New York, New York, United States JCW Full time

Position: Compliance Officer

Location: New York City (Hybrid)

Overview:

JCW is seeking a seasoned Compliance Officer to oversee regulatory compliance within our investment management firm. This role offers a unique opportunity for professionals to work closely with our Chief Compliance Officer and contribute to the development of our compliance program.

Key Responsibilities:

  • Ensure adherence to SEC and FINRA regulations, maintaining a strong understanding of industry requirements.
  • Collaborate with the Chief Compliance Officer to enhance our compliance program, identifying areas for improvement and implementing effective solutions.
  • Perform regular reviews and audits of internal controls, ensuring the firm's policies and procedures align with regulatory expectations.
  • Monitor trading activity, ensuring compliance with firm policies and regulatory requirements.
  • Manage licensing requirements, including registrations and renewals for employees, to maintain a compliant workforce.
  • Develop and deliver compliance training programs to ensure staff understanding of regulatory requirements.
  • Serve as a key point of contact for regulatory inquiries, exams, and audits, providing timely and accurate responses.
  • Assist with filings, regulatory reporting, and preparation for regulatory inspections, ensuring seamless compliance.
  • Stay up-to-date with regulatory developments, communicating necessary changes to the team and implementing effective solutions.
  • Collaborate closely with the Chief Compliance Officer to address any compliance-related issues, ensuring a proactive approach to regulatory compliance.

Qualifications

  • Series 7 and Series 24 licenses are required.
  • 3+ years of experience in compliance within investment management, securities, or a related financial field.
  • Strong understanding of SEC and FINRA regulations, with a proven track record of ensuring compliance.