Cardea Group
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Senior Compliance Associate (Miami, FL):
Our client, a hedge fund with approximately $3B in AUM, is seeking a Senior Compliance Associate to join their dynamic and collaborative team. This newly created position will report directly to the CCO and be the 4th person to join compliance with broad exposure to all areas of the program. Key Points: CCO is an exceptional mentor with a keen interest and proven history of promoting the professional development of their team Newly-created role on a high-performing compliance team Ability to work as the sole compliance professional in the Miami office or join the NYC team (Miami highly preferred) Broad compliance generalist responsibilities in a high-visibility role with an established and growing hedge fund with a track record of success. Responsibilities: Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement Design and conduct training on relevant topics Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses Oversee the preparation and coordination of the firms annual compliance review and any regulatory examinations Analyze information gathered through the firms surveillance systems to proactively identify potential issues Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices Monitor firm activity to identify regulatory filing requirements and prepare such filings Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel Qualifications: 5 to 7 years of experience in the financial services space Demonstrated knowledge of the Investment Advisors Act Ability to work in-person in the firms Miami or NYC office 3 days per week Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility Job Reference #3392262 Seniority level
Seniority level
Associate Employment type
Employment type
Full-time Job function
Job function
Administrative and Legal Industries
Investment Management and Venture Capital and Private Equity Principals Referrals increase your chances of interviewing at Cardea Group by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Paid maternity leave Paid paternity leave Disability insurance Get notified when a new job is posted. Sign in to set job alerts for Compliance Associate roles.
West Palm Beach, FL $80,000.00-$110,000.00 4 days ago Fort Lauderdale, FL $50,000.00-$85,000.00 3 weeks ago Legal Assistant - First- Party Property - (REMOTE)
Miami, FL $70,000.00-$80,000.00 4 days ago Miami, FL $55,000.00-$62,000.00 1 week ago Coral Gables, FL $65,000.00-$75,000.00 4 months ago Miami-Fort Lauderdale Area $80,000.00-$95,000.00 3 hours ago Plantation, FL $49,500.00-$50,500.00 1 week ago Miami, FL $80,000.00-$90,000.00 1 week ago Miami, FL $45,000.00-$55,000.00 2 days ago Miami, FL $60,000.00-$72,000.00 4 days ago Fort Lauderdale, FL $90,000.00-$95,000.00 2 weeks ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr
Our client, a hedge fund with approximately $3B in AUM, is seeking a Senior Compliance Associate to join their dynamic and collaborative team. This newly created position will report directly to the CCO and be the 4th person to join compliance with broad exposure to all areas of the program. Key Points: CCO is an exceptional mentor with a keen interest and proven history of promoting the professional development of their team Newly-created role on a high-performing compliance team Ability to work as the sole compliance professional in the Miami office or join the NYC team (Miami highly preferred) Broad compliance generalist responsibilities in a high-visibility role with an established and growing hedge fund with a track record of success. Responsibilities: Develop, implement, and maintain compliance policies and procedures, and recommend opportunities for improvement Design and conduct training on relevant topics Keep apprised of developments in the regulatory environment, including industry best practices and initiatives, to implement updates to the compliance program Assist in managing regulator inquiries, including conducting relevant research and formulating draft responses Oversee the preparation and coordination of the firms annual compliance review and any regulatory examinations Analyze information gathered through the firms surveillance systems to proactively identify potential issues Assess internal workflows and reports, identifying and addressing opportunities to improve and/or automate practices Monitor firm activity to identify regulatory filing requirements and prepare such filings Provide guidance on compliance issues to employees as appropriate and collaborate with third-party providers/outside counsel Qualifications: 5 to 7 years of experience in the financial services space Demonstrated knowledge of the Investment Advisors Act Ability to work in-person in the firms Miami or NYC office 3 days per week Strong preference for candidates with experience in roles with hedge funds and/or regulatory bodies High level of professional discretion, capable of maintaining confidentiality in a role with visibility to privileged information Energetic, detail-oriented, and highly organized, with a history of proactively pursuing additional responsibility Job Reference #3392262 Seniority level
Seniority level
Associate Employment type
Employment type
Full-time Job function
Job function
Administrative and Legal Industries
Investment Management and Venture Capital and Private Equity Principals Referrals increase your chances of interviewing at Cardea Group by 2x Inferred from the description for this job
Medical insurance Vision insurance 401(k) Paid maternity leave Paid paternity leave Disability insurance Get notified when a new job is posted. Sign in to set job alerts for Compliance Associate roles.
West Palm Beach, FL $80,000.00-$110,000.00 4 days ago Fort Lauderdale, FL $50,000.00-$85,000.00 3 weeks ago Legal Assistant - First- Party Property - (REMOTE)
Miami, FL $70,000.00-$80,000.00 4 days ago Miami, FL $55,000.00-$62,000.00 1 week ago Coral Gables, FL $65,000.00-$75,000.00 4 months ago Miami-Fort Lauderdale Area $80,000.00-$95,000.00 3 hours ago Plantation, FL $49,500.00-$50,500.00 1 week ago Miami, FL $80,000.00-$90,000.00 1 week ago Miami, FL $45,000.00-$55,000.00 2 days ago Miami, FL $60,000.00-$72,000.00 4 days ago Fort Lauderdale, FL $90,000.00-$95,000.00 2 weeks ago Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr