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.
Compliance and Data Analyst
A company is looking for a Compliance and Data Analyst I to ensure regulatory adherence and support data analysis for compliance-related tasks. ...
Risk and compliance Business Analyst
Experience as an IT BA – working on Risk and compliance Domain. Extensive experience in top 20 US financial organization with Risk and compliance applications. ...
Compliance Analyst III
A company is looking for a Compliance Analyst III to conduct transaction monitoring investigations and ensure regulatory compliance. ...
Senior CLO Compliance Analyst
The Virtus CLO Compliance/Analytics Team handles the financial modeling, reviewing, and stress testing compliance models for collateralized loan obligations (CLOs) and similar transactions. The Senior CLO Compliance Analyst is responsible for ensuring models are developed, reviewed, and tested in ac...
Developer Compliance Analyst
A company is looking for a Developer Compliance Analyst to ensure third-party applications meet safety standards and policies. ...
Compliance Senior Analyst- Tech and Data
In addition, the GFC Governance function plays a critical role in liaising with AML and Sanctions officers of FIS’s subsidiaries as well as other Risk and Compliance functions across the Legal, Compliance & Corporate Affairs division at FIS. Monitor LOB compliance activities to verify that regul...
Compliance Analyst
Maintain and update the compliance calendar to ensure compliance and timeliness. This role works with internal and external stakeholders to oversee regulatory filings, monitor and implement legislative changes, and review product forms and proposals to ensure compliance requirements are met to maint...
WTRS Operator Compliance Specialist (Quality Analyst 2)
HII Mission Technologies Division is seeking an Operator Compliance Specialist in support of a large Operations and Maintenance Contract within Mission Technologies. Accountable for ensuring adherence to all operational policies pertaining to supply handling, warehousing, and storage compliance with...
Compliance Business Systems Analyst
The Privacy & Business Analyst role reports to the Lennar Technology Group, Privacy IT Manager on the Controls & Compliance Team. Prepare and maintain documentation, including procedures, and records of compliance activities, to demonstrate our commitment to privacy compliance. This is primarily a s...
International Compliance Analyst (Hybrid, Bilingual)
The International Compliance Analyst will be responsible for supporting our international offices and international compliance programs with a focus in Latin America. The role requires a strong understanding of compliance principles, experience working within a global compliance program, and perform...