Ascendo Resources
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.
Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV. Base pay range $80,000.00/yr - $100,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Ascendo Resources Ascendo is excited to present this amazing opportunity in the dynamic financial services industry! If you've been seeking a role where your expertise in private wealth compliance and SEC regulations can truly shine, especially within a broker-dealer environment, you'll want to explore this further. This is an up-and-coming position with a firm on an upward trajectory, offering fantastic benefits and a chance to be a pivotal part of their continued growth in Miami. Responsibilities: Facilitating adherence to comprehensive regulatory frameworks. Assisting in the development and implementation of compliance policies. Conducting internal reviews to ensure operational integrity. Providing guidance and support on compliance-related inquiries. Collaborating on projects to enhance compliance processes. Qualifications: Demonstrated professional experience within financial services compliance. Proficiency in English and Spanish is essential. Solid understanding of relevant SEC regulations. Experience with Registered Investment Advisory (RIA) operations is a significant advantage. Strong analytical and problem-solving capabilities. Exceptional communication and interpersonal skills. Competitive health and wellness programs. Robust company-sponsored retirement plans. Opportunities for continuous professional development and training. A collaborative and supportive team-oriented work environment. ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT. Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionQuality Assurance IndustriesFinancial Services and Investment Management Referrals increase your chances of interviewing at Ascendo Resources by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Get notified about new Compliance Analyst jobs in
Miami, FL . Miami, FL $104,000.00-$155,000.00 2 weeks ago Compliance Specialist - Affordable HousingCompliance Officer (Marine Safety and Security)Compliance Analyst- Corporate Compliance-BHC-FT-#21613 Miami, FL $85,000.00-$95,000.00 18 hours ago Miramar, FL $56,616.81-$60,309.21 1 week ago Risk Compliance Officer II - Compliance TestingNational Regulatory Compliance - Governance & Risk - Staff - Location Open 1 Miami, FL $63,100.00-$103,900.00 12 hours ago International Trade Compliance Analyst 2Logistics Manager - Foreign Trade Zone & Compliance - Doral, FLCompliance Governance & Operations Manager Fort Lauderdale, FL $86,840.00-$139,360.00 6 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV. Base pay range $80,000.00/yr - $100,000.00/yr Additional compensation types Annual Bonus Direct message the job poster from Ascendo Resources Ascendo is excited to present this amazing opportunity in the dynamic financial services industry! If you've been seeking a role where your expertise in private wealth compliance and SEC regulations can truly shine, especially within a broker-dealer environment, you'll want to explore this further. This is an up-and-coming position with a firm on an upward trajectory, offering fantastic benefits and a chance to be a pivotal part of their continued growth in Miami. Responsibilities: Facilitating adherence to comprehensive regulatory frameworks. Assisting in the development and implementation of compliance policies. Conducting internal reviews to ensure operational integrity. Providing guidance and support on compliance-related inquiries. Collaborating on projects to enhance compliance processes. Qualifications: Demonstrated professional experience within financial services compliance. Proficiency in English and Spanish is essential. Solid understanding of relevant SEC regulations. Experience with Registered Investment Advisory (RIA) operations is a significant advantage. Strong analytical and problem-solving capabilities. Exceptional communication and interpersonal skills. Competitive health and wellness programs. Robust company-sponsored retirement plans. Opportunities for continuous professional development and training. A collaborative and supportive team-oriented work environment. ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT. Seniority level
Seniority levelAssociate Employment type
Employment typeFull-time Job function
Job functionQuality Assurance IndustriesFinancial Services and Investment Management Referrals increase your chances of interviewing at Ascendo Resources by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Get notified about new Compliance Analyst jobs in
Miami, FL . Miami, FL $104,000.00-$155,000.00 2 weeks ago Compliance Specialist - Affordable HousingCompliance Officer (Marine Safety and Security)Compliance Analyst- Corporate Compliance-BHC-FT-#21613 Miami, FL $85,000.00-$95,000.00 18 hours ago Miramar, FL $56,616.81-$60,309.21 1 week ago Risk Compliance Officer II - Compliance TestingNational Regulatory Compliance - Governance & Risk - Staff - Location Open 1 Miami, FL $63,100.00-$103,900.00 12 hours ago International Trade Compliance Analyst 2Logistics Manager - Foreign Trade Zone & Compliance - Doral, FLCompliance Governance & Operations Manager Fort Lauderdale, FL $86,840.00-$139,360.00 6 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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