SEC Compliance Assistant Job at Segrera Associates, Miami, FL

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  • Segrera Associates
  • Miami, FL

Job Description

Investment firm seeks detail-oriented and proactive Compliance Assistant to join local team. This role will work closely with Chief Compliance Officer to mnage daily functions of compliance program and ensure full alignment with regulatory requirements.

Key responsibilities:

  • Managing internal compliance processes and support regulatory filings and audits
  • Investigating compliance issues and helping to develop solutions
  • Monitoring and applying SEC regulations and other compliance requirements
  • Reviewing investor communications, marketing, and disclosures for regulatory compliance
  • Assisting with risk assessments, surveillance and mock audits
  • lead training and promote a strong compliance culture across departments

Background and Experience:

  • Bachelor's degree in Finance, Business, HR or Juris Doctor
  • 2+ years of compliance experience (preferably in corporate law, PE or hedge funds)
  • Strong communication skills
  • Ability to multitask, work independently and exercise sound judgement

Submit resume in confidence to [email protected]

Job Tags

Local area,

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