Mosaic Partners
Compliance Analyst | Capital Markets (Miami)
Mosaic Partners, Miami, Florida, United States, 33222
The Compliance Analyst will support the firms compliance program with a focus on capital markets and trading activities. This role is ideal for a detail-oriented professional with foundational compliance or regulatory experience who is looking to grow within a fast-paced hedge fund environment. The analyst will work closely with senior compliance staff, trading, and operations teams to help ensure adherence to regulatory requirements and internal policies.
QUALIFICATIONS Bachelors degree in Finance, Accounting, Economics, Business, or a related field 1-3 years of experience in compliance, risk, operations, or a related function within a hedge fund, asset manager, broker-dealer, or financial services firm Basic understanding of capital markets products and trading activities Familiarity with U.S. securities regulations and compliance frameworks (SEC, Investment Advisers Act of 1940) Proficiency with Microsoft Excel and document management systems Exposure to trade surveillance, compliance monitoring, or regulatory reporting tools
This role will sit
ONSITE
in Miami, FL
QUALIFICATIONS Bachelors degree in Finance, Accounting, Economics, Business, or a related field 1-3 years of experience in compliance, risk, operations, or a related function within a hedge fund, asset manager, broker-dealer, or financial services firm Basic understanding of capital markets products and trading activities Familiarity with U.S. securities regulations and compliance frameworks (SEC, Investment Advisers Act of 1940) Proficiency with Microsoft Excel and document management systems Exposure to trade surveillance, compliance monitoring, or regulatory reporting tools
This role will sit
ONSITE
in Miami, FL