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

WHdHUkJvakpIdEZGOFlKQ05Zc3dsTFBIOVE9PQ==
  • 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,

Similar Jobs

Pharmaceutical Company

Technical Writer - Operations Labeling Group Job at Pharmaceutical Company

 ...Job Title: Technical Writer - Operations Labeling Group Location: Branchburg NJ Local Candidates only Key Responsibilities...  ...Bachelors degree in Technical Writing, Communications, Life Sciences, or related field. Minimum of 3 years experience as a technical... 

Forever Smiles Turlock

Dental Assistant Job at Forever Smiles Turlock

 ...Our office is expanding. We are for looking for a team player. Requirements: Dental Assistant license is a requirement. We are looking for an experienced assistant but will train the right candidate. Candidate should be motivated to learn new things and open... 

David's Bridal

Seamstress Tailor Job at David's Bridal

 ...this job, the employee is occasionally required to stand, walk, and sit for extended periods of time; reach for tools and objects with hands and arms; climb stairs; stoop, kneel, crouch, or crawl; ability to bend, twist and stand; move throughout the store; and talk to and... 

LTW Logistics, LLC

Delivery Driver - LTW Logistics Amazon DSP Job at LTW Logistics, LLC

 ...LTW Logistics, LLC is an Amazon Delivery Service Partner contracted to deliver Amazon packages. We are immediately hiring enthusiastic, self-motivated, team players to deliver Amazon packages. Get fit while you work! No experience required! No CDL Required!... 

Apartment Property Management Services, LLC

Maintenance Technician - EPA Universal and HVAC certified, Tampa, FL Job at Apartment Property Management Services, LLC

 ...Summary: General maintenance to include: air conditioning, electric, appliances, plumbing, and preventative repairs to units, buildings,...  ...TEAM that CARES! Responsibilities :- Utilize expertise in HVAC systems, including design, refrigeration, and air conditioning,...