Chief Compliance Officer
JW Michaels & Co. · NY
FULL-TIME
Posted Sep 10, 2026
Job Description
About the Role
Our client, an asset management firm based in New York, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements.
Responsibilities
- Oversee the design, implementation, and administration of the firm's overall compliance program
- Maintain and update compliance policies and procedures, including the annual review process
- Oversee regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries
- Monitor regulatory developments and assess their impact on the firm's compliance framework
- Review marketing materials and investor communications for regulatory compliance
- Administer the firm's code of ethics, including personal trading and related policies
- Provide compliance training to employees across the firm
- Partner with Legal and other internal teams to identify and resolve compliance issues
Qualifications
- Bachelor's degree required; JD preferred
- 10+ years of compliance experience within financial services, including prior senior compliance leadership experience
- Strong knowledge of applicable securities regulations
- Proven experience managing regulatory examinations
- Strong communication and leadership skills
- High degree of integrity and sound judgment
Our client, an asset management firm based in New York, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements.
Responsibilities
- Oversee the design, implementation, and administration of the firm's overall compliance program
- Maintain and update compliance policies and procedures, including the annual review process
- Oversee regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries
- Monitor regulatory developments and assess their impact on the firm's compliance framework
- Review marketing materials and investor communications for regulatory compliance
- Administer the firm's code of ethics, including personal trading and related policies
- Provide compliance training to employees across the firm
- Partner with Legal and other internal teams to identify and resolve compliance issues
Qualifications
- Bachelor's degree required; JD preferred
- 10+ years of compliance experience within financial services, including prior senior compliance leadership experience
- Strong knowledge of applicable securities regulations
- Proven experience managing regulatory examinations
- Strong communication and leadership skills
- High degree of integrity and sound judgment
Additional Details
- City
- NY
- Country
- US
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