Senior Compliance Associate (Miami)
Talent Lab Partners LLC, Miami, FL, United States
Our client, a leading investment management firm, is seeking a highly motivated and experienced
Senior Compliance Associate
to support and enhance its global compliance program. This individual will play a key role in ensuring adherence to regulatory requirements while partnering closely with investment, legal, and operational teams across the organization. Key Responsibilities Develop, implement, and maintain compliance policies and procedures in accordance with current regulatory requirements, including marketing and related compliance matters Create and deliver compliance training and educational materials to business professionals Assess regulatory risk through industry research, regulatory developments, and internal analysis Review marketing materials, investor communications, due diligence responses, and fundraising documentation from a legal and compliance perspective Oversee and support regulatory filings with the SEC, CFTC/NFA, and other international regulatory bodies Manage trade restrictions, including monitoring and analyzing potential MNPI, maintaining restricted lists, and clearing trades Assist in regulatory inquiries, examinations, and mock audits in coordination with external counsel and consultants Support the ongoing development and maintenance of the firm’s compliance program Collaborate with investment and operational teams on a wide range of compliance and business matters Qualifications Minimum of 8 years of compliance experience within a hedge fund, private equity firm, financial services firm, compliance consultancy, or as a practicing funds attorney Strong working knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks Demonstrated experience designing and implementing compliance policies and procedures Strong analytical and problem-solving skills with the ability to interpret complex regulatory requirements Excellent organizational and project management skills, with the ability to manage multiple priorities effectively Exceptional written and verbal communication skills Ability to work independently while collaborating effectively across teams Proactive, detail-oriented, and able to operate with a high degree of professionalism and discretion Education Bachelor’s degree from an accredited institution required
Senior Compliance Associate
to support and enhance its global compliance program. This individual will play a key role in ensuring adherence to regulatory requirements while partnering closely with investment, legal, and operational teams across the organization. Key Responsibilities Develop, implement, and maintain compliance policies and procedures in accordance with current regulatory requirements, including marketing and related compliance matters Create and deliver compliance training and educational materials to business professionals Assess regulatory risk through industry research, regulatory developments, and internal analysis Review marketing materials, investor communications, due diligence responses, and fundraising documentation from a legal and compliance perspective Oversee and support regulatory filings with the SEC, CFTC/NFA, and other international regulatory bodies Manage trade restrictions, including monitoring and analyzing potential MNPI, maintaining restricted lists, and clearing trades Assist in regulatory inquiries, examinations, and mock audits in coordination with external counsel and consultants Support the ongoing development and maintenance of the firm’s compliance program Collaborate with investment and operational teams on a wide range of compliance and business matters Qualifications Minimum of 8 years of compliance experience within a hedge fund, private equity firm, financial services firm, compliance consultancy, or as a practicing funds attorney Strong working knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks Demonstrated experience designing and implementing compliance policies and procedures Strong analytical and problem-solving skills with the ability to interpret complex regulatory requirements Excellent organizational and project management skills, with the ability to manage multiple priorities effectively Exceptional written and verbal communication skills Ability to work independently while collaborating effectively across teams Proactive, detail-oriented, and able to operate with a high degree of professionalism and discretion Education Bachelor’s degree from an accredited institution required