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

ekI5bnptNkt3YTdzd1VieU56RDFOS0JhL3c9PQ==
  • JW Michaels & Co.
  • Alameda, 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

Quality Technology Services, LLC

Interior Design Senior Project Manager (Data Center Construction) Job at Quality Technology Services, LLC

The Data Center Interior Design Senior Project Manager is primarily responsible for leading and managing consistent implementation of QTS Corporate Interior Standards across multiple projects while overseeing overall management of Interior Design Project Managers and be... 

Medical Devices Company

MarketingCommunicatio&DigitalMarketing Job at Medical Devices Company

 ...projects. Looking for an individual with project management experience, marketing experience, willing to work remotely. Experience...  ...and to deadlines. Good attention to detail and accuracy Eligibilities & qualifications Education ~ MBA & Marketing... 

Imperial Crest Healthcare Center

Registered Nurse (RN) - AM Shift Job at Imperial Crest Healthcare Center

 ...require more intensive licensed skilled nursing care. We are a skilled nursing facility...  .... Schedule: Full-time 7am-3pm Registered Nurse (RN) Requirements Must possess...  ...California Fully vaccinated against COVID-19 including Booster shots Current valid... 

USAA

InfoSec Risk Assessment Lead Job at USAA

**Why USAA?**At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We seek to be the #1 choice for the military community and their families.Embrace a fulfilling career...

Just Around The Corner, Inc.

Dog Walker Job at Just Around The Corner, Inc.

&##128062; Weekday Dog Walkers Wanted! | Midday Shifts | Plymouth, MA &##128062; Flexible Work for Retirees, Teachers, and Animal Lovers Do you love being outside, getting your steps in, and spending time with dogs? Just Around the Corner Plymouths premier dog...