Senior Compliance Officer Job at Ascendo Resources, North Miami Beach, FL

WS9NVENIVEdaV3RUOVcrdmpnVkIvTlNCakE9PQ==
  • Ascendo Resources
  • North Miami Beach, FL

Job Description

Our client is an alternative asset management, due to growth they are seeking a Compliance Officer to lead and enhance its compliance initiatives.

This is a high-impact role that offers the opportunity to shape and strengthen the firm’s compliance framework while working alongside professionals in marketing, technology, and investment management.

Your role:

  • Develop, implement, and oversee the firm’s SEC compliance program, ensuring best practices are met and exceeded.
  • Draft, enhance, and enforce compliance policies and procedures, ensuring full alignment with SEC, CFTC/NFA, and FINRA regulations.
  • Review and optimize the firm’s compliance control structure to mitigate risks and maintain regulatory integrity.
  • Evaluate all marketing, advertising, and investor service-related materials to ensure compliance.
  • Handle all regulatory filings and serve as the primary liaison for SEC exams and inquiries.
  • Conduct and oversee AML/KYC checks, including supervision of third-party administrators.
  • Maintain legal agreements with third-party vendors and collaborate with outside counsel on compliance-related legal matters.
  • Work closely with investment, operations, and technology teams to implement compliance solutions seamlessly.

Qualifications

  • 5+ years of SEC/RIA compliance experience, with at least 3 years in a leadership role.
  • Bachelor’s degree required; Juris Doctor (JD) preferred.
  • Extensive experience in the hedge fund/private fund or asset management industries.
  • In-depth knowledge of the Investment Advisers Act of 1940 and SEC regulations.
  • Strong leadership and project management skills, with the ability to drive execution in a fast-paced environment.
  • Ability to manage multiple projects, set priorities, and collaborate with stakeholders across the firm.

Job Tags

Similar Jobs

Trollwood Performing Arts School

Facilities Technician Job at Trollwood Performing Arts School

 ...Lead Custodian, maintain cleanliness and proper operation of the buildings and grounds of the Bluestem facility. Complete scheduled cleaning and preparation duties as assigned. Be vigilant of the needs of Trollwood Performing Arts School, and assist in moving equipment... 

Joseph Gunnar & Co., LLC

Registered Investment Advisor Job at Joseph Gunnar & Co., LLC

 ...financial goals. The firm's capabilities include investment banking, corporate finance, sales and trading, and equity research services. Private clients have access to unique investment opportunities not found at larger competitors, while corporate clients benefit from a... 

Get It - Marketing

SEO Specialist - Remote Job at Get It - Marketing

 ...uncover opportunities for boosting organic traffic. Optimizing website content to improve search engine rankings for targeted keywords and phrases....  ...improvement and differentiation. Implementing and managing link-building strategies to enhance domain authority... 

Fireman Derek's

Baker Job at Fireman Derek's

 ...BAKER - Monday through Friday. Miami, FL. We offer: Guaranteed hours, paid weekly, weekends and evenings off. We are a growing company that manufactures delicious desserts and sell them to our retail locations along with our wholesale partners. We are based... 

Family Resource Home Care

HR Assistant Job at Family Resource Home Care

 ...clients maintain their independence and improve their quality of life. Our mission is clear: to improve more lives! Position: HR Assistant The Human Resource Assistant will perform administrative tasks and services tosupport the effective and efficient operations...