Compliance Associate

Highly regarded investment management firm is seeking a dynamic and motivated Compliance Associate to join their team in the Miami office.

• Assist in implementing the Global Compliance Program
• Drafting compliance policies and procedures
• Prepare and submit regulatory filings
• Provide training to new employees and assist with annual compliance trainings
• Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary
• Conduct reviews as part of the Firm’s overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
• Organize and administer the Firm’s committee governance program and documentation
• Monitor regulatory changes, updates and industry-wide compliance initiatives
• Review and analyze reports generated by the Firm’s surveillance systems
• Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes

Qualifications

• Bachelor’s degree and JD is a plus but not required
• Experience in a compliance position at a registered investment advisor preferred
• 5 years of experience in compliance experience, including at a global financial institution, asset manager or regulator
• Superior verbal and written communication, as well as analytical and problem solving skills
• Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred
• Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred
• Good team player with a strong willingness to participate and help others