Compliance Manager - Investment Management jobs in United States
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Ascendo Resources · 17 hours ago

Compliance Manager - Investment Management

positionMiami-FTL Area
timeFull-time
remoteOnsite
senioritySenior Level
date5+ years exp

Ascendo Resources is hiring a senior Compliance Manager to lead and evolve a sophisticated regulatory compliance program within a growing investment platform. This high-impact leadership role involves building structure, partnering with senior stakeholders, and driving a culture of integrity in a fast-paced, highly regulated environment.

Human ResourcesStaffing Agency
Hiring Manager
Jacque Wilson
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Responsibilities

Leading and enhancing the firm’s SEC compliance program
Reviewing and strengthening compliance policies, procedures, and internal controls
Managing the compliance calendar, key deliverables, and regulatory checklists
Reviewing marketing, advertising, and client-facing materials for regulatory accuracy
Overseeing regulatory filings, examinations, and ongoing regulatory interactions
Managing AML and KYC processes and overseeing third-party administrators
Partnering with outside counsel on vendor agreements and legal documentation
Ensuring proper maintenance and organization of all legal and regulatory records

Qualification

SEC compliance experienceInvestment Advisers Act knowledgeCompliance program managementRegulatory frameworks knowledgeLeadership skillsOrganizational skillsProject management skillsCollaboration skills

Required

Bachelor's degree required; JD or advanced degree preferred
5+ years of SEC/RIA compliance experience, including at least 3 years in a leadership or management capacity
Deep knowledge of the Investment Advisers Act of 1940 and related SEC regulations
Working knowledge of SEC, CFTC/NFA, and FINRA regulatory frameworks
Experience within hedge funds, private funds, or asset management environments
Proven ability to design, implement, and oversee effective compliance programs
Strong leadership, organizational, and project management skills
Ability to manage competing priorities while collaborating across teams

Preferred

JD or advanced degree

Company

Ascendo Resources

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Glassdoor3.5
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Ascendo Resources is a staffing and recruiting company providing accounting, finance, and it recruiting services.
dateFounded in 2009
location
Coral Gables, Florida, USA
people-size201-500 employees
web-link
http://ascendo.com

Funding

Current Stage
Growth Stage

Leadership Team

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Scott Berger
Co-Founder of Healthcare Operations
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Brandie Jimenez
Partner at Ascendo Resources
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Recent News

TecHR Series
Ascendo Resources Celebrates Company-Wide Team Member Promotions
2022-02-01
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