Ascendo Resources
Regulatory Compliance Manager (Investments)
This range is provided by Ascendo Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $110,000.00/yr - $130,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Ascendo Resources Compliance (regulatory) Manager – Financial Services (Investments) A leading Investments management firm is seeking a full-time
Compliance Manager
to support its compliance program and ensure adherence to regulatory requirements. This individual will work closely with senior leadership to oversee day-to-day compliance operations and foster a strong culture of compliance across the organization. Key Responsibilities: Monitor and interpret SEC, FINRA, and other relevant regulations to ensure ongoing compliance. Review, implement, and maintain compliance policies and supervisory procedures. Oversee third-party services, including code of ethics attestations and electronic communications review. Ensure investor communications, marketing materials, and disclosures comply with applicable securities laws. Conduct risk assessments, surveillance, monitoring, and mock audits to test policies and procedures. Prepare and submit regulatory filings, manage records for regulators/auditors, and coordinate mock examinations. Deliver training programs and provide guidance to internal teams on compliance matters. Investigate compliance incidents, recommend remediation, and escalate findings as needed. Qualifications: Minimum 2 years of compliance experience (private equity, hedge funds, broker-dealers, or related financial institutions preferred). Bachelor’s degree required; focus in Finance, Business, Compliance, or related fields preferred. Strong understanding of SEC/FINRA rules and ability to communicate complex concepts clearly. Excellent written and verbal communication skills. Strong analytical, organizational, and multitasking abilities in a fast-paced environment. Ability to exercise independent judgment with minimal supervision. What We Offer: Competitive compensation package with a discretionary, performance-based bonus. Collaborative and entrepreneurial work environment. Opportunities for professional growth and advancement. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal, Finance, and Administrative Industries Investment Management and Banking Referrals increase your chances of interviewing at Ascendo Resources by 2x Get notified about new Regulatory Compliance Manager jobs in
Miami, FL .
#J-18808-Ljbffr
This range is provided by Ascendo Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $110,000.00/yr - $130,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Ascendo Resources Compliance (regulatory) Manager – Financial Services (Investments) A leading Investments management firm is seeking a full-time
Compliance Manager
to support its compliance program and ensure adherence to regulatory requirements. This individual will work closely with senior leadership to oversee day-to-day compliance operations and foster a strong culture of compliance across the organization. Key Responsibilities: Monitor and interpret SEC, FINRA, and other relevant regulations to ensure ongoing compliance. Review, implement, and maintain compliance policies and supervisory procedures. Oversee third-party services, including code of ethics attestations and electronic communications review. Ensure investor communications, marketing materials, and disclosures comply with applicable securities laws. Conduct risk assessments, surveillance, monitoring, and mock audits to test policies and procedures. Prepare and submit regulatory filings, manage records for regulators/auditors, and coordinate mock examinations. Deliver training programs and provide guidance to internal teams on compliance matters. Investigate compliance incidents, recommend remediation, and escalate findings as needed. Qualifications: Minimum 2 years of compliance experience (private equity, hedge funds, broker-dealers, or related financial institutions preferred). Bachelor’s degree required; focus in Finance, Business, Compliance, or related fields preferred. Strong understanding of SEC/FINRA rules and ability to communicate complex concepts clearly. Excellent written and verbal communication skills. Strong analytical, organizational, and multitasking abilities in a fast-paced environment. Ability to exercise independent judgment with minimal supervision. What We Offer: Competitive compensation package with a discretionary, performance-based bonus. Collaborative and entrepreneurial work environment. Opportunities for professional growth and advancement. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal, Finance, and Administrative Industries Investment Management and Banking Referrals increase your chances of interviewing at Ascendo Resources by 2x Get notified about new Regulatory Compliance Manager jobs in
Miami, FL .
#J-18808-Ljbffr