Compliance Analyst

JL Klein Executive Search
FL, United States
Full-time

Role Overview :

Our client is an asset management firm in Miami, FL. They are seeking a Compliance Associate / 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.

24 days ago
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