Investment Advisory Compliance Analyst

Growing SEC Registered Investment Advisor is seeking a Compliance Analyst to join our their team. This role will ensure full adherence to regulatory standards. With strong knowledge of SEC regulations, Investment Advisors Act of 1940 and some knowledge of Alternative Investments

• Develop and implement the firm’s SEC compliance program
• Review and enhance compliance policies, procedures, and control structures
• Maintain compliance calendar, tasks, and checklists
• Review marketing, advertising, and client-facing materials for regulatory accuracy
• Oversee regulatory filings and examinations
• Manage AML/KYC checks and third-party administrator oversight
• Liaise with outside counsel on vendor agreements and legal documentation
• Ensure proper upkeep of all legal documents

• 3+ years of SEC/RIA compliance experience, including 3+ years managing compliance teams
• In-depth knowledge of the Investment Advisers Act of 1940 and SEC regulations
• Strong knowledge of SEC, CFTC/NFA, and FINRA rules and regulations
• Background in hedge funds, private funds, or asset management
• Proven ability to design, implement, and monitor compliance programs
  
  Strong poject management skills and ability to work in fast-paced environments
• Ability to manage multiple priorities and collaborate effectively across teams

Please note this position is onsite in Miami FL full time