Compliance Officer (Miami)

About the Company

Galapagos Capital is a highly diversified full service investment firm with focus in Wealth and Asset Management, liquid and illiquid assets across a range of credit, real estate, multistrategies, permanent capital and IB.

The position is for a full time and in-office in Miami, Florida.

Known Requirements

• Responsible for developing and implementing the organization's SEC compliance program and optimizing key policies to deliver effective operational management.

• Review, enhance, and structure the firm’s Compliance control structure to ensure compliance with applicable regulations

• Draft, enhance, implement, and monitor the firm’s compliance Manuall, policies and procedures

• In-depth knowledge of the Investment Advisers Act of 1940, as well as SEC rules and regulations

• Review all marketing, advertising, and client and investor service-related materials

• Regulatory filings with all major regulatory authorities

• Respond to all regulatory exams and inquiries

• AML/KYC checks, including oversight of third-party administrators

• Liaison with outside counsel on legal agreements with 3rd party vendors

• Upkeep of all legal documents

• Demonstrated ability to coordinate effectively with team members in a fast-paced environment

• Ability to manage multiple projects, set priorities, and drive execution in collaboration with stakeholders across the company

Education and Experience Requirements

• More than 5 years of experience in SEC/RIA compliance and at least 3 years of experience in Asset Management or Private Funds
• Fluent in English and Spanish, Portuguese proficiency very likely
• Active registration likely (66 and 24) 
• Bachelor's degree in related field
• Proficiency with SEC, FINRA, CFTC/NFA and Firm Compliance Policies & Procedures

Companhia independente de investimentos:

Acreditamos no poder transformador do mercado financeiro que une, de forma eficiente, quem precisa de crédito e quem tem capital para investir.

Adotamos um jeito disruptivo de fazer banking: sem agências e sem a utilização de balanço. Inovadora, leve e criativa, a Galapagos reúne a capacidade de originar, estruturar e alocar operações de crédito de maneira que nossos clientes possam usufruir desses rendimentos de forma rentável e com pouca volatilidade.

Por isso, ajudamos empresas e pessoas a terem acesso a crédito de forma competitiva e transformamos esses créditos em soluções de investimento - tudo dentro de casa. Parece um banco, mas não é. Somos mais eficientes, mais ágeis e, principalmente, oferecemos resultados muito melhores para nossos clientes. É para isso que a Galapagos nasceu: para ajudar o mercado financeiro a evoluir, alcançando seu potencial e beneficiando milhões de brasileiros.