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Investment Advisory Compliance Specialist
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-07-11
Listing for:
Ascendo Resources
Full Time
position Listed on 2026-07-11
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Ascendo Resources in Miami is seeking a Compliance Analyst to join our team, responsible for developing and maintaining the firm’s SEC compliance program and ensuring adherence to the Investment Advisers Act of 1940. The role requires strong knowledge of SEC regulations and experience in asset management environments, with a focus on regulatory accuracy and risk mitigation.
You will review policies, oversee filings, AML/KYC checks, and coordinate with outside counsel on vendor agreements, while
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