Apex Global Mobility | Compliance Specialist at Apex Capital

4 weeks ago

miami, United States Apex Global Mobility Full time

¿Who are we?


We are a company dedicated to transformation and value maximization to catalyze a positive impact on the world. We build and develop businesses through expert collaborators, offering innovative solutions based on strategy, technology, and world-class management to transform our business units: CBC, BIA, and Beliv. With over 130 years in the consumer goods industry, we operate in more than 14 markets.


What is the position about?


Implementing the Compliance Program at Apex Capital and ensuring the Fund's compliance with all regulatory obligations before the SEC - Securities and Exchange Commission.


Challenge of the position


  • Implementation of the Compliance Program at Apex Capital. Providing overall support to the Ethics and Compliance team, including training, due diligence, and other tasks as needed.
  • Ensure timely compliance with the Compliance calendar before the SEC - Securities and Exchange Commission, and be responsible for action plans resulting from SEC inspections.
  • Will be responsible for reports and serve as the main point of contact with the Compliance Consultant hired for Apex Capital.
  • Responsible for managing third parties contracted for:

a) Email surveillance.

b) Reporting obligations and transactions of the Investment Committee members.

c) Primary Compliance contact with the Fund Administrator.

  • Responsable por el plan de comunicación de Compliance en Apex Capital.
  • Approval of advertising material for Apex Capital.
  • Manage the Compliance Portal (inquiries about Compliance and various approvals), ensure employee access, respond to all questions and requests within the appropriate timeframe, and continuously improve the system.
  • Participate in the Compliance Due Diligence process for companies Apex Capital is interested in acquiring.
  • Implement Compliance standards in the portfolio companies of the fund.
  • Monitoring, reviewing, and responding to employees' compliance disclosures. Creating and maintaining consolidated reports on compliance disclosures and due diligence.
  • Working cross-functionally to evaluate and recommend changes and solutions to improve policies, procedures, and internal controls based on risk assessments or other root causes of misconduct.
  • Conduct proactive data mining and analysis to identify potential control gaps and opportunities for non-compliance, and help develop and implement new controls.


Who are we looking for?


  • Lawyer or Administrator in Compliance, Internal Controls.
  • Minimum of 3 to 5 years of experience as a Compliance Manager or Specialist.
  • Experience in Capital Markets and/or Private Equity Funds.
  • Proficiency in English and Spanish (Mandatory).

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