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Senior Compliance Analyst

2 months ago

Miami, United States Ascendo Resources Full time

We are seeking a diligent and knowledgeable Compliance Analyst to join a growing team in Miami. As a Senior Compliance Analyst, you will play a critical role in ensuring that our firm adheres to regulatory requirements and industry best practices. You will work closely with our compliance team to develop and maintain effective compliance programs, monitor regulatory changes, and provide guidance on compliance-related matters.



Key Responsibilities:

  • Monitor and interpret regulatory developments and changes affecting registered investment advisors (RIAs) such as SEC rules (e.g., Advisers Act, Custody Rule, Advertising Rule) and other relevant regulations (e.g., Form ADV, Form PF).
  • Assist in the development, implementation, and enhancement of the firm's compliance policies and procedures to ensure adherence to regulatory requirements and industry standards.
  • Conduct risk assessments to identify potential compliance risks and deficiencies. Develop and implement monitoring processes to detect and prevent violations of regulatory requirements.
  • Provide training and guidance to employees on compliance policies, procedures, and regulatory requirements to foster a culture of compliance throughout the organization.
  • Perform compliance testing and reviews to assess the effectiveness of controls and identify areas for improvement. Prepare reports detailing findings and recommendations for corrective actions.
  • Coordinate and support internal and external audits and examinations conducted by regulatory authorities or third-party auditors. Assist in responding to inquiries and requests for information.
  • Conduct due diligence reviews on clients and third-party vendors to ensure compliance with regulatory requirements and firm policies.



Qualifications:

  • Bachelor's degree in Finance, Business Administration, Law, or related field.
  • Bilingual preferred - English & Spanish
  • 3+ years of experience in compliance roles within the financial services industry, preferably with RIAs or asset management firms.
  • Solid understanding of SEC regulations applicable to RIAs, including familiarity with Form ADV, compliance program requirements, and custody rules.
  • Strong analytical skills with the ability to interpret and apply complex regulatory requirements.
  • Excellent written and verbal communication skills, with the ability to effectively communicate compliance concepts and requirements.
  • Detail-oriented and organized, with the ability to prioritize tasks and manage multiple projects simultaneously.




Ascendo is a certified minority owned staffing firm, and we welcome and celebrate diversity.

Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, parental status, military service or any other characteristic protected by federal, state or local law.