Senior Compliance Analyst

Our client an alternative asset management firm in Miami is currently seeking a dynamic Senior Manager of compliance to spearhead its compliance initiatives.

The role offers the opportunity to lead and shape the compliance team, ensuring best practices are met and exceeded. This role is for a hands on leader who likes to shape policy and ideally someone with a smaller team background; and forward thinking approach.

Known Requirements

• More than 5 years of experience in SEC/RIA compliance and at least 3 years of experience in leading compliance teams
• Responsible for developing and implementing the organization's SEC compliance program and optimizing key policies to deliver effective operational management.
• Review, enhance, and structure the firm’s Compliance control structure to ensure compliance with applicable regulations
• Draft, enhance, implement, and monitor the firm’s compliance policies and procedures
• In-depth knowledge of the Investment Advisers Act of 1940, as well as SEC rules and regulations
• Review all marketing, advertising, and client and investor service-related materials
• Regulatory filings with all major regulatory authorities
• Respond to all regulatory exams and inquiries
• AML/KYC checks, including oversight of third-party administrators
• Liaison with outside counsel on legal agreements with 3rd party vendors
• Upkeep of all legal documents
• Exceptional leadership and project management skills required
• Demonstrated ability to coordinate effectively with team members in a fast-paced environment
• Ability to manage multiple projects, set priorities, and drive execution in collaboration with stakeholders across the company

Responsibilities

• Bachelor’s Degree required; Juris Doctor is ideal
• Substantial experience working in hedge fund/private fund or asset management industries required
• Strong knowledge of SEC, CFTC/NFA, and FINRA rules and regulations