Director of Compliance Job at JW Michaels & Co., San Francisco, CA

aEpyUkR6ZUJaQkE2VnJTQnBUTVpPTTFv
  • JW Michaels & Co.
  • San Francisco, CA

Job Description

Well-regarded RIA is seeking a senior compliance officer to join their team.

This team member will oversee the firm's compliance program, and work collaboratively with senior management.

  • Design, implement, and enhance the firm’s compliance policies and procedures.
  • Maintain the firm’s Code of Ethics and ensure employee adherence.
  • Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms.
  • Ensure compliance with SEC, FINRA, and other applicable regulatory bodies.
  • Oversee regulatory filings, including Form ADV, Form CRS, and other periodic disclosures.
  • Serve as a trusted advisor to senior leadership and employees on compliance matters.
  • Develop and deliver training programs to educate employees on compliance requirements, ethics, and best

Requirements:

  • 7-10 years of compliance experience in financial services, preferably in investment advisory firms or private wealth management.
  • Strong knowledge of SEC regulations, including the Investment Advisers Act of 1940.
  • Experience managing regulatory examinations, audits, and inquiries.
  • Excellent written and verbal communication skills
  • Ability to thrive in an ever-changing, fast paced environment
  • Ability to work independently as well as with a team

Job Tags

Similar Jobs

Home Instead

Senior Companion / Non-Medical Caregiver Job at Home Instead

 .... Job Description We call our caregivers Care Professionals (Care Pros) because they are true experts at helping older adults live better lives. They play a key role in our mission by building real, caring relationships and providing kind care that helps our clients... 

Ryder System

Truck Driver CDL A Home Daily Job at Ryder System

 ...Immediate opening for a SOLO Class A Truck Driver and we want the right Trucker to join us...  ...+ Deliver SOLOTo: Southern CA+ Route: Home Daily+ Tractor Type: Day Cab+ TrailerType:5...  ...a Ryder road test+ Provide appropriate CDL and endorsements for the position+ Must... 

Main Hospital - New Brunswick

Patient Monitor Job at Main Hospital - New Brunswick

 ...Job Overview: RWJBarnabas Health is seeking a highly dedicated Patient Monitor for our Sitter Unit, in our New Brunswick Facility. Qualifications: Required: High School Diploma or GED equivalent required. Basic Life Support (CPR) through American Heart Association... 

The Laurels of Bon Air

Admission Nurse Registered Nurse RN Job at The Laurels of Bon Air

 ...industry. This includes: ~ Comprehensive health insurance - medical, dental and vision ~401K with matching funds ~ DailyPay ,...  ...monthly summaries, admissions/discharges and transfers, and order transcription Assumes responsibility of Charge Nurse Duties in his/her... 

USEReady

Senior AWS Developer & Database Administrator Job at USEReady

 .... USEReady partners with cloud and data ecosystem leaders like Tableau, Salesforce, Snowflake and Amazon Web Services, and has been named...  ...for a cloud-first, digital world. Job Title: Senior AWS Developer & Database Administrator Location: Dallas, TX Duration: 6...