An innovative alternative asset management firm based in Miami is growing its team and looking to add a Compliance Officer to spearhead its compliance initiatives. The role reports directly to the Chief Compliance Officer and offers the opportunity to lead and shape the compliance team, ensuring best practices are met and exceeded.
Responsibilities
- 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
Requirements
- Bachelor's Degree required; Juris Doctor preferred
- 5-15 years of SEC/RIA compliance experience
- Exceptional leadership and project management skills required
- Substantial experience working in hedge fund/private fund or asset management industries required
- Strong knowledge of SEC, CFTC/NFA, and FINRA rules and regulations
