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Compliance Associate

4 months ago

Miami, United States Ascendo Resources Full time

Seeking a Compliance Associate to cover Asset Management / Advisory Business


We are seeking a candidate who will be responsible for working on policies & procedures for the compliance program, dealing with regulators and communicating changes to the business


Your role:

  • Assists in the development of policies and procedures to comply with regulatory bodies.
  • Communicates any changes in policies, procedures, and regulatory environment.
  • Support the annual renewal of the firm’s registration with the SEC.
  • Support on all regulatory filing requirements
  • Participates in the external audits from regulating agencies.
  • Works with outside consultants and legal counsel to mitigate any findings.
  • Participate in the execution of internal reviews and audits.
  • Prepares compliance reporting


Qualifications

  • Bachelor’s degree in Business Administration with a concentration in Finance, Political Science or Law.
  • 3+ years of experience in registered investment advisor, or multi-family advisor.
  • Ability to understand legal documentation
  • Bilingual Spanish and English
  • Strong MS Office skills including advanced Excel