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

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  • JW Michaels & Co.
  • Sonoma, 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

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