Role Overview:
Our client is an asset management firm in Miami, FL. They are seeking a Compliance Analyst/Officer to join their team and report to the CCO.
Key Responsibilities:
Regulatory Compliance: Ensure compliance with industry regulations, especially those set by financial regulatory bodies.
Policy Development: Assist in the development, implementation, and maintenance of the company's compliance policies and procedures.
Investment Advisers Act: Knowledge of the investment advisers act of 1940.
Required Qualifications:Bachelor’s degree in Law, Business, Finance, or a related field. Proven experience as a Compliance Officer, Compliance Manager, or similar position, preferably within the asset management industry.