Sr Associate - Compliance

Join to apply for the Sr Associate - Compliance role at Rialto Capital
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Rialto Capital is a leading real estate investment, finance and asset management firm with 300+ professionals in Miami, New York and other offices across the U.S. Our key businesses include investment management, loan origination, asset management and special servicing. The firm has over $6 billion of assets under management and nearly $3 billion of equity. The successful candidate will be an integral part of Rialto’s Compliance team, working directly with the Chief Compliance Officer to address a range of compliance issues associated with private funds, hedge funds and other clients managed by Rialto Capital Management, LLC.

• Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist in maintaining broader L&C policies and procedures.
• Develop educational materials and trainings for business professionals.
• Assess current and prospective regulatory risk through industry interaction and research.
• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting‑related materials (e.g., quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective.
• Supervise a variety of regulatory filings with the SEC, CFTC/NFA, and other international regulatory bodies, in collaboration with Rialto's operations and finance teams.
• Assist in managing all aspects of trade restrictions including analyzing potential MNPI, clearing trades, and maintaining the restricted list on an ongoing basis.
• Work with the team in responding to requests from regulators, preparing for regulatory examinations, and conducting mock examinations in conjunction with external consultants and counsel.
• Support the implementation and maintenance of the firm's compliance programs.
• Engage in meaningful interactions with Rialto's investment and operational professionals on a wide range of business matters.

• 8+ years of experience in a compliance role within a hedge fund, private equity fund, compliance consultancy, financial services firm, or as a practicing funds lawyer, with in‑depth knowledge of the Investment Advisers Act of 1940.
• Bachelor’s degree from an accredited institution is required.
• Demonstrated experience with the development, implementation, and oversight of compliance policies and procedures.
• Strong attention to detail and analytical skills.
• Ability to interpret complex regulatory requirements and provide practical, business‑oriented advice.
• Strong project management and organizational skills, able to manage multiple and sometimes conflicting demands.
• Highly effective oral and written communication skills and ability to communicate confidently and effectively.
• Ability to work independently while remaining a strong team player and building strong working relationships.
• Proactive management skills and the ability to manage projects independently to conclusion.
• Substantial initiative, creativity, and drive, with the ability to implement a measured approach under competing demands and with confidence.