Rialto Capital · 9 hours ago
Sr Associate - Compliance
Miami, FL
Full-time
Onsite
Senior Level, Lead/Staff
8+ years expRialto Capital is a leading real estate investment, finance and asset management firm with over 300 professionals. The successful candidate will be an integral part of Rialto’s Compliance team, working directly with the Chief Compliance Officer to address a range of compliance issues associated with private funds, hedge funds, and other clients managed by Rialto Capital Management, LLC.
Real Estate
Responsibilities
Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures
Develop educational materials and trainings for business professionals
Assess current and prospective regulatory risk through industry interaction and research
Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective
Supervising a variety of regulatory filings with the SEC, CFTC / NFA, and other international regulatory bodies, in collaboration with Rialto's operations and finance teams
Assisting in management of all aspects of trade restrictions including analyzing potential MNPI, clearing trades, and maintaining the restricted list on an ongoing basis
Work with team in responding to requests from regulators, preparing for regulatory examinations, and conducting mock examinations in conjunction with external consultants and counsel
Supporting the implementation and maintenance of the firms' compliance programs
Engaging in meaningful interactions with Rialto's investment and operational professionals on a wide range of business matters
Qualification
Required
8+ experience in a compliance role within a hedge fund, private equity fund, compliance consultancy, financial services firm, or as a practicing funds lawyer, with in-depth knowledge of the Investment Advisers Act of 1940
Bachelor's degree from an accredited institution is required
Demonstrated experience with the development, implementation, and oversight of compliance policies and procedures
Strong attention to detail and analytical skills
Strong analytical skills with the ability to interpret complex regulatory requirements and provide practical, business-oriented advice
Strong project management and organizational skills with ability to manage multiple and sometimes conflicting demands
Highly effective oral and written communication skills and ability to communicate confidently and effectively
Ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships
Proactive management skills and the ability to manage projects independently and to conclusion
Substantial initiative, creativity and drive and the ability to implement a measured approach under competing demands and with confidence
Company
Rialto Capital
Rialto is a fully integrated real estate investment management and asset management company with a dedicated special servicer.
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
unknownKey Investors
CNO Financial Group
2022-04-27Corporate Round
2018-12-03Acquired
Leadership Team
Marshall Van Smith
Chief Financial Officer
Amanda Vega
Chief Compliance Officer
Recent News
2025-11-12
2025-10-10
Company data provided by crunchbase