Global Asset Manager

LatAm Compliance Officer, Miami, FL

LATAM Compliance Officer (Miami, FL): Our client, a global asset manager with over $50B in AUM, is seeking a capable and motivated compliance professional to join one of their satellite US offices in Miami.  This person will support the firm’s compliance program with a focus on their activity in Latin America.  As part of a predominantly sales office, this is an ideal role for an individual who can work well independently or prefers to have a fair amount of flexibility to work from home.  The proper candidate will hold a Series 7 license and have experience with US offshore compliance matters.

Key Points:

  • Opportunity to work in a generalist compliance position within an extremely reputable firm’s small, entrepreneurial Miami team
  • Ability to work under a very stable platform but in an entrepreneurial setting
  • Firm hires extremely smart and humble humans
  • Position will offer a mix of work that is steady and challenging
  • Ability to work for an international company


  • Oversee the US offshore regional and global compliance rules and regulations; build and foster personal rapport with regional clients and their compliance teams
  • Coordinate with regional clients to acquire approvals for official firm events; assist with building programs which align with the firm’s policies
  • Work closely with US and international teams to coordinate and conduct compliance trainings; communicate and monitor regulatory guidelines throughout the firm
  • Prepare and review marketing materials while streamlining an approval process; work with third party administrator to ensure completion of expense reports andquarterly gift and entertainment log


  • 3 – 5 years of relevant compliance experience with US offshore is ideal, otherwise from a reputable investment management firm; bachelors degree is required
  • Knowledge and extensive experience of global anti-money laundering legislation and performing CDD; series 7 required (prerequisite to the series 24)
  • Series 24 or plan to take the exam on short notice is preferred; excellent communication skills as this role will be highly visible to all levels throughout the firm
  • Can-do attitude and confident personality, individualmust demonstrate technical expertise within compliance, upon arrival

Job Reference #1560

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