Compliance Specialist - Remote

Overview

The Compliance Specialist will implement the Compliance Program at Apex Capital, ensuring adherence to regulatory obligations set by the SEC.

In Short

• Implement the Compliance Program at Apex Capital.
• Ensure timely compliance with the SEC Compliance calendar.
• Serve as the main contact with the Compliance Consultant.
• Manage third-party contracts related to compliance.
• Oversee the Compliance Portal and respond to inquiries.
• Participate in Compliance Due Diligence for acquisitions.
• Monitor and review employee compliance disclosures.
• Evaluate and recommend changes to improve internal controls.
• Conduct data mining to identify control gaps.
• Work cross-functionally to enhance compliance policies.

Requirements

• Lawyer or Administrator in Compliance, Internal Controls.
• 3 to 5 years of experience as a Compliance Manager or Specialist.
• Experience in Capital Markets and/or Private Equity Funds.
• Proficiency in English and Spanish (Mandatory).
• Location: Miami.

Benefits

• Confidentiality of information maintained according to EEO guidelines.
• Commitment to diversity and inclusion in the workplace.