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Compliance Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-26
Listing for:
JW Michaels & Co.
Full Time
position Listed on 2026-01-26
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Leading Venture Capital firm is seeking a Compliance Associate to join their dynamic team in the Westchester office.
Responsibilities- Support preparation and filing of Form ADV, Form PF, and other regulatory submissions for firm's registered investment adviser entity
- Assist with compliance certifications for partners and portfolio managers
- Monitor regulatory developments and help assess impact on fund operations and advisory activities
- Maintain compliance calendars and tracking systems
- Code of Ethics & Personal Trading
- Experience with Comply Sci the Firm's code of ethics software
- Monitor compliance with Code of Ethics requirements and restricted lists
- Maintain records of personal securities transactions and holdings reports
- Maintain restricted securities list and other monitoring logs
- Anti-Money Laundering & Sanctions
- Bachelor's degree with strong academic standing
- 2-4 years of experience in compliance, legal, audit, or fund administration (venture capital/private equity experience a plus)
- Experience with the reporting system Comply Sci a big plus
- Strong understanding of or willingness to learn Investment Advisers Act requirements
- Excellent written and verbal communication abilities
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
- Self-starter with ability to work independently and collaboratively
Position Requirements
10+ Years
work experience
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