Compliance Associate Job at JW Michaels & Co., Houston, TX

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  • JW Michaels & Co.
  • Houston, TX

Job Description

Houston based BDC is seeking a junior/mid level compliance associate to join their growing team! Will work directly with the CCO as part of a two person team!

  • Experience with MYCOMPLIANCEOFFICE is highly desirable
  • 2-6yrs
  • In office 4-5x per week

  • Assist in managing all aspects of the company’s regulatory compliance system
  • Monitor compliance with company policies and procedures
  • Maintain monthly compliance calendar and ensuring timely completion of routine compliance matters
  • Conduct targeted ad hoc and periodic testing of company policies and procedures in accordance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940
  • Review personal trading, political contribution and outside activity requests
  • Assist with oversight of investments to ensure compliance with company policies and procedures
  • Prepare supporting analysis regarding compliance issues/incidents
  • Assist with monitoring applicable U.S. regulations
  • Assist in the preparation of regulatory filings
  • Assist in the development of compliance training programs

Job Tags

Work at office,

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