Senior Compliance Manager

The Method Staffing; Miami (FL); On-site; USD 150,000 - 190,000; Full time

Job summary

The Method Staffing is assisting a Miami-based alternative asset management client in hiring a Senior Manager of Compliance to lead and shape its compliance program.

This hands-on leader will own policy development, regulatory examinations, and cross‑functional coordination across the firm’s growing operations.

Qualifications

• More than 5 years of experience in SEC/RIA compliance and at least 3 years in leading compliance teams.
• Developing and implementing the organization\'s SEC compliance program and optimizing key policies.
• Reviewing, enhancing, and structuring the firm’s Compliance control structure to ensure regulatory adherence.
• Drafting, enhancing, implementing, and monitoring the firm\'s compliance policies and procedures.
• In-depth knowledge of the Investment Advisers Act of 1940 and SEC rules/regulations.
• Reviewing marketing, advertising, and client/investor service materials.
• Handling regulatory filings with major authorities; responding to exams and inquiries.
• Overseeing AML/KYC checks and third-party administrator oversight.
• Liaising with outside counsel on legal agreements with vendors; keeping legal documents up to date.
• Exceptional leadership and project management skills; coordinating with teams in fast-paced environments.

Responsibilities

• Bachelor’s Degree required; Juris Doctor is ideal.
• Substantial experience in hedge fund/private fund or asset management industries.
• Strong knowledge of SEC, CFTC/NFA, and FINRA rules.

Skills

SEC compliance

Leadership

Policy development

Regulatory knowledge

AML/KYC oversight

Vendor liaison

Project management

Cross-functional collaboration

Education

Bachelor's Degree

Juris Doctor

Job description

Overview

Our client, an alternative asset management firm in Miami, is currently seeking a dynamic Senior Manager of Compliance to spearhead its compliance initiatives.

The role offers the opportunity to lead and shape the compliance team, ensuring best practices are met and exceeded. This role is for a hands‑on leader who likes to shape policy and ideally someone with a smaller team background; and forward thinking approach.

Known Requirements

• More than 5 years of experience in SEC/RIA compliance and at least 3 years of experience in leading compliance teams
• Responsible for developing and implementing the organization\'s SEC compliance program and optimizing key policies to deliver effective operational management.
• Review, enhance, and structure the firm’s Compliance control structure to ensure compliance with applicable regulations
• Draft, enhance, implement, and monitor the firm’s compliance policies and procedures
• In-depth knowledge of the Investment Advisers Act of 1940, as well as SEC rules and regulations
• Review all marketing, advertising, and client and investor service-related materials
• Regulatory filings with all major regulatory authorities
• Respond to all regulatory exams and inquiries
• AML/KYC checks, including oversight of third-party administrators
• Liaison with outside counsel on legal agreements with 3rd party vendors
• Upkeep of all legal documents
• Exceptional leadership and project management skills required
• Demonstrated ability to coordinate effectively with team members in a fast-paced environment
• Ability to manage multiple projects, set priorities, and drive execution in collaboration with stakeholders across the company

Responsibilities

• Bachelor’s Degree required; Juris Doctor is ideal
• Substantial experience working in hedge fund/private fund or asset management industries required
• Strong knowledge of SEC, CFTC/NFA, and FINRA rules and regulations