A growing, technology-driven alternative investment platform is seeking a Compliance Manager / Compliance Officer to join its expanding team in Miami. This is an opportunity to play a key role in building and enhancing an SEC-registered investment adviser’s compliance program while partnering directly with executive leadership during an exciting period of growth.
The organization has experienced significant expansion over the past several years and is looking for a collaborative, business-minded compliance professional who enjoys working in an entrepreneurial environment and wants to make a meaningful impact.
Responsibilities
- Support and enhance the firm’s SEC compliance program in accordance with the Investment Advisers Act of 1940.
- Develop, implement, and maintain compliance policies, procedures, and internal controls.
- Manage the firm’s compliance calendar, monitoring activities, testing program, and annual compliance review.
- Prepare and maintain regulatory filings, including Form ADV and other required SEC filings.
- Coordinate SEC examinations, regulatory inquiries, and ongoing compliance reporting.
- Review marketing, advertising, website content, and client communications for compliance with the SEC Marketing Rule.
- Oversee AML/KYC processes, regulatory documentation, and third-party service provider oversight.
- Coordinate Blue Sky filings and other state regulatory requirements, working closely with outside counsel as needed.
- Partner with executive leadership and cross-functional teams to provide practical compliance guidance and support business initiatives.
- Identify opportunities to strengthen the firm’s compliance framework as the organization continues to grow.
Qualifications
- Bachelor’s degree required.
- 5+ years of SEC/RIA compliance experience within an investment adviser, asset manager, wealth management firm, private fund, or alternative investment platform.
- Strong knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, Form ADV, and SEC regulatory requirements.
- Experience supporting SEC examinations and regulatory filings.
- Hands-on experience reviewing marketing and advertising materials under the SEC Marketing Rule.
- Familiarity with AML/KYC, compliance testing, policy development, and regulatory monitoring.
- Exposure to private funds, hedge funds, private equity, alternative investments, or wealth management is highly preferred.
- Excellent communication, project management, and relationship-building skills.
Why Consider This Opportunity?
- Join a rapidly growing alternative investment platform during an exciting stage of expansion.
- Report directly to executive leadership and influence the future direction of the compliance function.
- Broad exposure across SEC compliance, governance, marketing review, regulatory strategy, and business operations.
- Opportunity to help build and shape a growing compliance team.
- Collaborative, entrepreneurial culture where your contributions will have a visible impact on the business.
- Competitive compensation, bonus potential, comprehensive benefits, and relocation assistance available.
If you’re an SEC/RIA compliance professional looking to broaden your scope, gain greater visibility with leadership, and play a strategic role within a high-growth financial services organization, we’d love to hear from you.
