AD Mortgage LLC
Recruitment Specialist @ A&D Mortgage LLC
Imperial Fund
is an investment management firm that provides a wide range of investment strategies, specializing in non-agency residential mortgages and other asset classes, for both institutional and individual investors. With over a decade of experience and $7.5 billion in securitized assets under management, Imperial Fund leverages a strategic partnership with a leading mortgage originator to offer unique investment solutions. We are looking for a
Compliance Investment Analyst
to join our team in a critical, high-impact role. You will be the cornerstone of our compliance office, combining your deep expertise with a proactive approach to protect both our clients and our firm. This is an opportunity to directly influence our strategic direction and build a compliance framework that is both robust and ethical. As our Compliance Investment Analyst, you will: Lead Compliance Efforts : Act as the primary point of contact for all regulatory matters, ensuring our wealth management activities adhere to SEC, FINRA, and other relevant bodies. Shape Our Framework : Develop, implement, and update compliance policies and procedures to proactively mitigate risk and foster a culture of integrity. Drive Strategic Audits : Conduct regular, hands-on reviews of client accounts and advisory practices to ensure compliance and ethical standards are consistently met. Be a Trusted Advisor : Provide critical compliance guidance and training to our wealth advisors and staff, ensuring they are always up to date on regulatory changes and best practices. Influence Key Decisions : Collaborate with legal and senior leadership teams to investigate and resolve compliance issues, acting as a key player in our decision-making process. Ensure Market Compliance : Be the final check for all marketing materials, including our website, newsletters, and social media, guaranteeing they meet all compliance standards before publication. What We're Looking For
Experience : A minimum of 3 years of direct experience in a compliance role within an investment advisory firm in the United States. Your previous firm must have been SEC-licensed. Education : A Bachelor’s degree in Finance, Business, Law, or a related field. Expert Knowledge : A strong command of SEC, FINRA, and other regulatory frameworks impacting wealth management. Required Skills : Experience with compliance monitoring, audits, and regulatory reporting. Soft Skills : Strong analytical, problem-solving, and communication skills with a proactive approach to identifying risks. Why Join Imperial Fund?
Your Impact is Direct: You won't just be an analyst; you will be the key subject matter expert, directly responsible for ensuring our regulatory health and safeguarding our business. Be Part of a Community: We are a community, not just a company. We believe in getting the job done while maintaining a friendly and supportive environment. Be at the Forefront: A&D Mortgage is a new, growing office, and you will be essential in establishing the foundational processes for the compliance team. This is an on-site position only at our office in Fort Lauderdale, Florida. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Analyst Industries
Financial Services and Investment Management This job posting may include standard disclaimer language about referrals or application processes and does not guarantee placement by itself.
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Imperial Fund
is an investment management firm that provides a wide range of investment strategies, specializing in non-agency residential mortgages and other asset classes, for both institutional and individual investors. With over a decade of experience and $7.5 billion in securitized assets under management, Imperial Fund leverages a strategic partnership with a leading mortgage originator to offer unique investment solutions. We are looking for a
Compliance Investment Analyst
to join our team in a critical, high-impact role. You will be the cornerstone of our compliance office, combining your deep expertise with a proactive approach to protect both our clients and our firm. This is an opportunity to directly influence our strategic direction and build a compliance framework that is both robust and ethical. As our Compliance Investment Analyst, you will: Lead Compliance Efforts : Act as the primary point of contact for all regulatory matters, ensuring our wealth management activities adhere to SEC, FINRA, and other relevant bodies. Shape Our Framework : Develop, implement, and update compliance policies and procedures to proactively mitigate risk and foster a culture of integrity. Drive Strategic Audits : Conduct regular, hands-on reviews of client accounts and advisory practices to ensure compliance and ethical standards are consistently met. Be a Trusted Advisor : Provide critical compliance guidance and training to our wealth advisors and staff, ensuring they are always up to date on regulatory changes and best practices. Influence Key Decisions : Collaborate with legal and senior leadership teams to investigate and resolve compliance issues, acting as a key player in our decision-making process. Ensure Market Compliance : Be the final check for all marketing materials, including our website, newsletters, and social media, guaranteeing they meet all compliance standards before publication. What We're Looking For
Experience : A minimum of 3 years of direct experience in a compliance role within an investment advisory firm in the United States. Your previous firm must have been SEC-licensed. Education : A Bachelor’s degree in Finance, Business, Law, or a related field. Expert Knowledge : A strong command of SEC, FINRA, and other regulatory frameworks impacting wealth management. Required Skills : Experience with compliance monitoring, audits, and regulatory reporting. Soft Skills : Strong analytical, problem-solving, and communication skills with a proactive approach to identifying risks. Why Join Imperial Fund?
Your Impact is Direct: You won't just be an analyst; you will be the key subject matter expert, directly responsible for ensuring our regulatory health and safeguarding our business. Be Part of a Community: We are a community, not just a company. We believe in getting the job done while maintaining a friendly and supportive environment. Be at the Forefront: A&D Mortgage is a new, growing office, and you will be essential in establishing the foundational processes for the compliance team. This is an on-site position only at our office in Fort Lauderdale, Florida. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance and Analyst Industries
Financial Services and Investment Management This job posting may include standard disclaimer language about referrals or application processes and does not guarantee placement by itself.
#J-18808-Ljbffr