Imperial Fund Asset Management
Compliance Investment Analyst
Imperial Fund Asset Management, Fort Lauderdale, Florida, us, 33336
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 Analys t 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.
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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 Analys t 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.
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