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# Chief Compliance Officer

- **Company:** JW Michaels
- **Location:** Boston, MA, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Artificial Intelligence, Data Analytics
- **Published:** November 7, 2026
- **Apply:** https://www.juju.com/job/28_25303_27de9c11ebc6424565b61085e9d42429

## About the Role

* Minimum 10 years of relevant compliance, legal, or regulatory experience.
 * Minimum 5 years of experience supporting a registered private equity investment adviser.

Regulatory Compliance and Program Oversight

## Description

* Assist the General Counsel and Chief Compliance Officer in the administration and ongoing enhancement of compliance program.
 * Maintain and oversee compliance with the Investment Advisers Act of 1940, and other applicable securities laws and regulations.
 * Monitor regulatory developments and evaluate their impact on the firm, recommending and implementing appropriate policy and procedural changes.
 * Coordinate and support regulatory examinations, inquiries, and requests from the SEC, and other regulatory authorities.
 * Lead the firm's annual compliance review process, including risk assessments, testing, documentation, and remediation efforts.
 * Help foster a culture of compliance throughout the organization.

Regulatory Filings and Reporting

 * Oversee the preparation, review, and timely filing of Form ADV, Form PF, and other regulatory filings.
 * Partner with legal, finance, investor relations, and operations teams to gather and validate information required for regulatory reporting.

Compliance Policies, Procedures, and Training

 * Maintain and enhance the firm's Compliance Manual, Code of Ethics, and related policies and procedures.
 * Develop and implement compliance training programs for employees globally.

Conflicts Management and Fiduciary Oversight

 * Identify, assess, and help manage conflicts of interest arising from investment activities, fundraising activities, portfolio company relationships, co-investments, continuation vehicles, and other firm initiatives.

Code of Ethics and Employee Compliance

 * Oversee personal trading compliance and administration of the firm's compliance technology platforms.
 * Administer employee certifications, attestations, gifts and entertainment reporting, political contribution monitoring, outside business activities, and related compliance processes.
 * Maintain and monitor restricted lists, watch lists, and information barrier procedures.

Marketing and Advertising Reviews

 * Serve as the firm's subject-matter expert on the SEC Marketing Rule (Rule 206(4)-1 of the Advisers Act).
 * Review marketing materials (including social media posts) prior to distribution to ensure compliance with applicable regulatory requirements.

Monitoring, Testing, and Risk Management

 * Design and execute compliance testing and monitoring programs.
 * Manage the firm's Rule 206(4)-7 of the Advisers Act annual assessment.
 * Conduct periodic risk assessments and forensic testing and identify opportunities to strengthen internal controls.
 * Manage remediation efforts and track resolution of identified issues.
 * Design and administer a compliance monitoring program, with particular focus on identifying risk and conflict areas requiring enhanced oversight.
 * Oversee the firm's use of expert networks and other information-gathering activities.
 * Prepare and present at regulatory risk committee meetings.

Vendor and Technology Management

 * Develop and execute an operating model that strategically leverages external consultants, service providers, and technology solutions to maximize the effectiveness and scalability of the compliance function.
 * Direct and oversee third-party compliance projects.
 * Drive the ongoing enhancement of the compliance program through process optimization, automation, data analytics, and emerging technologies, including AI.