Senior Compliance Lead — SEC/Asset Management

The Method Staffing; Miami (FL); On-site; USD 100,000 - 130,000; Full time

Job summary

An alternative asset management firm in Miami is seeking an experienced Senior Manager of Compliance to lead its compliance initiatives. The successful candidate will have over 5 years of SEC/RIA compliance experience and at least 3 years in a leadership role. Responsibilities include developing the compliance program, reviewing control structures, and ensuring adherence to regulatory requirements. Strong project management and leadership skills are essential for this hands-on role.

Qualifications

• More than 5 years of experience in SEC/RIA compliance.
• At least 3 years of experience in leading compliance teams.
• In-depth knowledge of the Investment Advisers Act of 1940.

Responsibilities

• Develop and implement the organization's SEC compliance program.
• Review and enhance the firm's Compliance control structure.
• Manage multiple projects and drive execution in collaboration with stakeholders.

Skills

SEC/RIA compliance

Leadership

Regulatory compliance

Project management

Communication

Education

Bachelor’s Degree

Juris Doctor

Job description

An alternative asset management firm in Miami is seeking an experienced Senior Manager of Compliance to lead its compliance initiatives. The successful candidate will have over 5 years of SEC/RIA compliance experience and at least 3 years in a leadership role. Responsibilities include developing the compliance program, reviewing control structures, and ensuring adherence to regulatory requirements. Strong project management and leadership skills are essential for this hands-on role.