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Director of Compliance

Company: Infinity Consulting
Location: Miami
Posted on: January 28, 2023

Job Description:

Job Description - Director of Compliance

This role will support the development of. compliance program including the development, administration, implementation, and maintenance of compliance policies and procedures designed to prevent, detect, and correct potential violations of applicable securities laws.


  • Lead implementation of compliance and operations project plans under the direction of management.
  • Assist with the implementation of the compliance program within a global framework.
  • Assist with designing and implementing transition plans for affiliated registrants and business units.
  • Oversight and administration of all regulatory filings processing, including but not limited to Form ADV, 13F, 13G, 13H, Form BE-13, Form BE-15, and Form BE-605.
  • Responsible for Code of Ethics policies and procedures compliance administration as required by the Investment Adviser Act of 1940 (Rule 204A-1) and Investment Company Act of 1940 (Rule 17j-1(c)(1)).
  • Onboard the ACA Compliance Alpha compliance system modules and integrate personal securities transaction reviews, code of ethics attestations, and manual compliance content updates.
  • Review employee account statements
  • Electronic communication surveillance.
  • Assist with establishing and maintaining broker-feeds related to employee personal securities trading accounts through ACA Compliance Alpha.
  • Assist with the oversight of transitioning legacy compliance books and records from systems identified to retire from use.
  • Assist with the administration of all compliance audits and enterprise audits, including preparation, coordination of all information gathering between business units during the audit/exam, and remediation actions.
  • Assist with regulatory and legal research projects.
  • Assist with compliance testing and reviews, transactional testing, risk assessments, and reporting on a focused and random sample basis.
  • Contribute to compliance meetings with business unit leaders
  • Communicate and monitor regulatory change management.
  • Manage new and existing compliance vendor due diligence process, ensuring start-to-finish completion of the internal due-diligence process as needed.
  • Implement new compliance system onboarding projects as necessary.
  • Performs QA continuous monitoring of regulatory compliance through the data-driven compliance reporting processes
  • Assist with preparing reports to management, including detailing observations and recommendations for corrections of identified issues.
  • Participate with Business Unit Managers regarding compliance program controls strengths, results, and implementation of procedural recommendations.
  • Work with business units to accomplish remediation, appropriate training, and track issues in enterprise GRC System(s).
  • Participates in the continual review and improvement of risk control oversight programs
  • Coordinates with team members his/her ideas and recommendations for enhancement of areas that cover all regulatory risks
  • Monitor GIPS compliance verification procedures and controls.
  • Coordinate custody audits
  • Support efforts to maintain compliance-related business systems, data management, and data integrity, including but not limited to; i) performance and composite data compliance, ii) trade reconciliation, iii) performance distribution, iv) IPS status, v) regulatory disclosure delivery, vi) books and records, vii) monitoring securities definitions and reorganizations, and viii) other relevant business data.
  • Other duties as assigned



    • 10 years working experience in compliance, operations, trust, banking, internal audit, and regulatory compliance
    • Previous compliance, legal or operational experience in a large financial services organization is preferred.


      • Bachelor's degree in business or related field, or equivalent education and experience
      • Relevant Compliance Certifications Desirable
      • CFA, JD or legal and regulatory experience helpful

        Knowledge, Skills, and Abilities

        • Ability to communicate clearly and effectively in a written and oral manner
        • Extensive knowledge of US investment advisers and investment companies
        • Solid understanding of the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other US and foreign regulations.
        • Highly motivated self-starter with a willingness to "roll up your sleeves" and identify opportunities for enhancement.
        • Team leader and consensus builder with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization.
        • Ability to balance regulatory and policy standards along with practical business perspective.
        • Strong attention to detail, analytical and issue-spotting skills
        • Exceptional organizational skills: the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
        • Proficient with all Microsoft Suite applications (Office 365, Outlook, Excel, Word, etc.)

Keywords: Infinity Consulting, Miami , Director of Compliance, Executive , Miami, Florida

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