Job Description

Compliance Officer

• Location: Miami, Florida (***Local candidates only please***)
• Compensation: $90,000 to $120,000 base salary (commensurate with experience) plus performance bonus and benefits

Summary

Compliance Officer will help oversee Company compliance through administering the day-to-day requirements of the compliance program. The selected individual will work with the Chief Compliance Officer to ensure stringent compliance with the legal & regulatory requirements of all local, state, federal and international laws.

The ideal candidate will have experience in operations & compliance ( preferably in private equity, hedge funds or other corporate law ) and is comfortable in a regulatory environment. A strong analytical background, and exemplary organizational and multitasking skills are essential for the role.

Responsibilities of Compliance Officer

• Monitor and interpret SEC regulations, industry standards, and other relevant laws to ensure the Company’s compliance, including the review, implementation, and maintenance of relevant policies and procedures
• Oversee and track third party management service in the collection of Code of Ethic attestations / certifications and electronic communication review
• Ensure all investor communications, marketing materials, and disclosures comply with all applicable securities laws
• Work with Chief Compliance Officer (CCO) to conduct periodic risk assessments, reviews, and tests to ensure successful implementation of policies and procedures through surveillance, monitoring, examinations, and mock audits
• Coordinate cross-departmentally to prepare and submit regulatory filings, maintain detailed records and reports for regulators and auditors, and prepare documentation for regulatory and mock examinations
• Deliver ongoing training programs and provide guidance on compliance matters, establishing internal controls to prevent and detect compliance violations, while fostering a culture of compliance across the organization
• Investigate and resolve compliance-related incidents, reporting significant issues and remediation efforts to the CCO and senior management

Qualifications for Compliance Officer

• Minimum of 2 years of relevant compliance experience ( preferably in private equity, hedge funds or other corporate law )
• Bachelor’s degree required (focus in Finance, Human Resources, Business, Compliance or Operations focus preferred)
• Comprehension and effective communication of complex concepts
• Excellent written & oral communication skills
• Strong work ethic with the ability to multitask, prioritize, and demonstrate initiative in a fast-paced environment

LOCAL CANDIDATES ONLY PLEASE

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