Senior Compliance Analyst

Senior Compliance Associate – Investment Management (Onsite, Miami)

A well-established investment management firm with a national footprint is seeking an Investment Compliance Associate to support its growing regulatory and operational needs. This role works closely with senior leadership to ensure adherence to regulatory standards across multiple investment strategies, including private funds and alternative investment vehicles.

This position is ideal for a compliance professional who thrives in a fast-paced environment and enjoys balancing regulatory rigor with practical, business-focused solutions.

Key Responsibilities

• Develop and maintain internal compliance policies and procedures, including guidance related to marketing, investor communications, and regulatory reporting.
• Create training and educational materials for internal business teams.
• Conduct research to evaluate regulatory risk and monitor evolving industry guidance.
• Review marketing decks, DDQs, investor communications, quarterly letters, and other reporting materials from a regulatory and compliance perspective.
• Oversee a variety of regulatory filings (SEC, CFTC/NFA, and select international regulators) in coordination with internal operations and finance teams.
• Support trade-restriction processes, including MNPI review, trade clearances, and maintenance of restricted lists.
• Assist with regulatory examinations, coordinate responses to inquiries, and work with external counsel and consultants on mock exams.
• Contribute to the implementation and enhancement of the firm’s compliance program.
• Collaborate closely with investment, operations, and other internal teams on compliance-related matters.

Qualifications

• 8 years of compliance experience within hedge funds, private equity, investment advisers, compliance consulting, or related legal/compliance roles.
• Strong working knowledge of the Investment Advisers Act of 1940.
• Bachelor’s degree required.
• Demonstrated ability to develop and implement compliance policies and procedures.
• Exceptional analytical skills and the ability to translate complex regulatory requirements into practical business guidance.
• Strong written and verbal communication skills.
• Proven ability to manage competing priorities and drive projects to completion.
• Highly organized, proactive, and able to build effective cross-functional relationships.

Call to Action

If this opportunity aligns with the next step in your compliance career, I’d love to connect. Apply today!