We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing and enhancing the firm’s SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight.
Responsibilities
- Support the development and ongoing management of the firm’s SEC compliance program.
- Monitor regulatory developments and assess their impact on the firm.
- Maintain the Code of Ethics and applicable compliance policies and procedures.
- Lead monitoring, surveillance, supervision, and new business review activities.
- Identify compliance and regulatory risks and implement appropriate controls.
- Serve as a key compliance resource for investment professionals and business leadership.
- Support SEC examinations, regulatory inquiries, and other external reviews.
- Coordinate regulatory requests and documentation with outside counsel and consultants as needed.
- Oversee remediation and corrective actions resulting from regulatory or internal reviews.
- Support compliance training, annual certifications, and internal audits.
- Participate in the onboarding and supervision of investment professionals.
Qualifications
- 8+ years of securities industry experience in compliance or supervision.
- Strong SEC-registered investment adviser (RIA) compliance experience.
- Experience with regulatory examinations, surveillance, monitoring, and risk management.
- Bachelor’s degree required.
- Strong communication, analytical, and organizational skills.
- Bilingual English/Spanish required; Portuguese is a plus.
Senior Compliance Officer in Miami at Ascendo Resources
This position is listed as full time and onsite. It was posted last week.