Current jobs related to Senior Compliance Analyst - Miami - Ascendo Resources
-
Senior Compliance Analyst, Risk Management
7 days ago
Miami, United States Sirius XM Radio Inc Full timePosition Overview About Us: SiriusXM and its associated brands (including Pandora, SiriusXM Media, AdsWizz, Simplecast, and SiriusXM Connect) are at the forefront of audio entertainment and services, creating an unparalleled subscription and ad-supported audio experience for listeners across various platforms. Our mission is to redefine the audio landscape,...
-
Senior Analyst, Governance, Risk, and Compliance
2 weeks ago
Miami, United States Sirius XM Radio Inc Full timeResponsibilities Who We Are: SiriusXM and its brands (Pandora, SiriusXM Media, AdsWizz, Simplecast, and SiriusXM Connect) are leading a new era of audio entertainment and services by delivering the most compelling subscription and ad-supported audio entertainment experience for listeners - in the car, at home, and anywhere on the go with connected devices....
-
Senior BSA Compliance Analyst
7 days ago
Miami, United States City National Bank Full timeOverview:The Senior BSA Compliance Analyst plays a crucial role in ensuring adherence to Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) regulations by identifying and investigating suspicious activities. This position requires a deep understanding of OFAC regulations and the internal policies of the bank, along with a commitment to confidentiality...
-
Compliance Analyst
2 months ago
Miami, United States Millennium Management Full timeCompliance Analyst The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. As a...
-
Compliance Analyst
1 week ago
Miami, United States Ascendo Resources Full timeWe are seeking a Compliance Analyst to join a growing team in Miami. As a 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...
-
Compliance Analyst
1 week ago
Miami, United States Ascendo Resources Full timeWe are seeking a Compliance Analyst to join a growing team in Miami. As a 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...
-
Senior Tax Analyst
4 weeks ago
Miami, United States Coda Search│Staffing Full timeA global Real Estate investment firm headquartered in Miami is looking to hire a Senior Tax Analyst. They hold about 80 billion in assets under management. Job Summary: The Senior Tax Analyst will be responsible for assisting the tax group with tax compliance and research projects, including taxable income calculations/projections, preparation of federal and...
-
Senior Tax Analyst
3 days ago
miami, United States Coda Search│Staffing Full timeA global Real Estate investment firm headquartered in Miami is looking to hire a Senior Tax Analyst. They hold about 80 billion in assets under management. Job Summary: The Senior Tax Analyst will be responsible for assisting the tax group with tax compliance and research projects, including taxable income calculations/projections, preparation of federal and...
-
Senior Tax Analyst
4 weeks ago
Miami, United States Coda Search│Staffing Full timeA global Real Estate investment firm headquartered in Miami is looking to hire a Senior Tax Analyst. They hold about 80 billion in assets under management. Job Summary: The Senior Tax Analyst will be responsible for assisting the tax group with tax compliance and research projects, including taxable income calculations/projections, preparation of federal and...
-
Senior Tax Analyst
2 days ago
miami, United States Coda Search│Staffing Full timeA global Real Estate investment firm headquartered in Miami is looking to hire a Senior Tax Analyst. They hold about 80 billion in assets under management. Job Summary: The Senior Tax Analyst will be responsible for assisting the tax group with tax compliance and research projects, including taxable income calculations/projections, preparation of federal and...
-
Compliance Analyst
1 week ago
Miami, United States Larson Maddox Full timeWe are currently partnered with a leading Insurance firm seeking a detail-oriented and adaptable Compliance Analyst to join their team. In this role, you will support fundamental compliance tasks under the guidance of their Legal department. The focus will be on enhancing and streamlining compliance processes and implementing regulations...
-
Compliance Analyst
1 week ago
Miami, United States Larson Maddox Full timeWe are currently partnered with a leading Insurance firm seeking a detail-oriented and adaptable Compliance Analyst to join their team. In this role, you will support fundamental compliance tasks under the guidance of their Legal department. The focus will be on enhancing and streamlining compliance processes and implementing regulations...
-
Compliance Analyst
3 days ago
miami, United States Larson Maddox Full timeWe are currently partnered with a leading Insurance firm seeking a detail-oriented and adaptable Compliance Analyst to join their team. In this role, you will support fundamental compliance tasks under the guidance of their Legal department. The focus will be on enhancing and streamlining compliance processes and implementing regulations...
-
Compliance Analyst
2 days ago
miami, United States Larson Maddox Full timeWe are currently partnered with a leading Insurance firm seeking a detail-oriented and adaptable Compliance Analyst to join their team. In this role, you will support fundamental compliance tasks under the guidance of their Legal department. The focus will be on enhancing and streamlining compliance processes and implementing regulations...
-
Senior Tax Compliance Specialist
1 week ago
Miami, United States Coda Search│Staffing Full timeCompany Overview:Coda Search│Staffing is a prominent player in the staffing industry, focusing on delivering top-tier talent solutions.Position Summary:We are currently seeking a Senior Tax Analyst to join our dynamic team. This role is pivotal in supporting our tax department with various compliance and research initiatives. The ideal candidate will...
-
Senior Business Analyst
3 months ago
Miami, United States Careerxchange Full timeJob DescriptionJob DescriptionOur client is the supply chain management partner to one of the largest restaurant franchise chains based out of Miami, FL near the Miami airport area. They are looking to fill a Senior Business Analyst position.The Senior Business Analyst is responsible for analyzing and reporting on sales performance, including evaluating...
-
Regulatory Compliance Analyst
7 days ago
Miami, United States Leeds Professional Resources Full timeWe are looking for a Regulatory Compliance Analyst with a background in broker-dealer operations to support our client's compliance initiatives. Proficiency in both English and Spanish is essential, and having FINRA licensing will be advantageous.Key ResponsibilitiesCollaborate with various departments to evaluate current compliance standards.Facilitate...
-
Senior Token Analyst
2 months ago
Miami, United States Delphi Digital Full timeJob DescriptionJob DescriptionSalary: Role: Senior Token AnalystLocation: Remote - North America, South America, AsiaCompany DescriptionDelphi Digital is a research-driven firm dedicated to advancing the understanding and development of the growing digital asset market. Our goal is to continue driving the crypto asset space forward by investing both...
-
Senior Business Analyst
2 weeks ago
Miami, United States L2R Consulting Full timeRESPONSIBILITIES The Senior Business Analyst is responsible for analyzing and reporting on sales performance, including evaluating national promotions, enhancing TLOG data capabilities, and automating sales tracking systems. This role is tasked with managing projects by collaborating with management and business partners to define objectives, develop...
-
Senior Business Analyst
2 weeks ago
Miami, United States L2R Consulting Full timeRESPONSIBILITIES The Senior Business Analyst is responsible for analyzing and reporting on sales performance, including evaluating national promotions, enhancing TLOG data capabilities, and automating sales tracking systems. This role is tasked with managing projects by collaborating with management and business partners to define objectives, develop...
![Ascendo Resources](https://media.trabajo.org/img/noimg.jpg)
Senior Compliance Analyst
2 months ago
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 firms 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:
- Bachelors 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.