Ascendo Resources
Overview
We are seeking a Compliance Associate to support the Chief Compliance Officer (CCO) of our client, an Independent Broker Dealer. This individual will assist in maintaining and enhancing the firm’s compliance program, ensuring adherence to FINRA/SEC regulations and internal policies. The ideal candidate will be detail-oriented, proactive, and capable of handling a broad range of regulatory compliance responsibilities. Responsibilities
Assist the CCO with the administration of the firm’s compliance program under FINRA/SEC rules and regulations. Monitor employee trading, personal account activity, gifts/entertainment logs, and other Code of Ethics reporting. Conduct periodic reviews of marketing materials, client communications, and disclosures to ensure compliance with regulatory standards. Assist with the preparation and filing of Form ADV and other required regulatory filings. Help manage compliance testing and monitoring activities, including annual reviews. Support internal audits and regulatory examinations, including gathering and organizing requested documentation. Maintain compliance policies and procedures, ensuring they are up-to-date with regulatory changes. Provide training and support to staff on compliance policies and best practices. Research and monitor regulatory developments impacting the industry. Assist with record keeping and documentation in accordance with FINRA/SEC requirements. Qualifications
Bachelor’s degree in finance, business, legal studies, or a related field required. 2+ years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred. Strong understanding of FINRA/SEC regulations, RIA/Broker dealer compliance, and investment advisory practices. Excellent attention to detail, organizational, and communication skills. Ability to handle confidential information with discretion. Proficiency with Microsoft Office Suite; experience with compliance software platforms, a plus. Details
Seniority level: Associate Employment type: Full-time Job function: Finance and Legal Industries: Banking, Financial Services, and Investment Banking
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We are seeking a Compliance Associate to support the Chief Compliance Officer (CCO) of our client, an Independent Broker Dealer. This individual will assist in maintaining and enhancing the firm’s compliance program, ensuring adherence to FINRA/SEC regulations and internal policies. The ideal candidate will be detail-oriented, proactive, and capable of handling a broad range of regulatory compliance responsibilities. Responsibilities
Assist the CCO with the administration of the firm’s compliance program under FINRA/SEC rules and regulations. Monitor employee trading, personal account activity, gifts/entertainment logs, and other Code of Ethics reporting. Conduct periodic reviews of marketing materials, client communications, and disclosures to ensure compliance with regulatory standards. Assist with the preparation and filing of Form ADV and other required regulatory filings. Help manage compliance testing and monitoring activities, including annual reviews. Support internal audits and regulatory examinations, including gathering and organizing requested documentation. Maintain compliance policies and procedures, ensuring they are up-to-date with regulatory changes. Provide training and support to staff on compliance policies and best practices. Research and monitor regulatory developments impacting the industry. Assist with record keeping and documentation in accordance with FINRA/SEC requirements. Qualifications
Bachelor’s degree in finance, business, legal studies, or a related field required. 2+ years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred. Strong understanding of FINRA/SEC regulations, RIA/Broker dealer compliance, and investment advisory practices. Excellent attention to detail, organizational, and communication skills. Ability to handle confidential information with discretion. Proficiency with Microsoft Office Suite; experience with compliance software platforms, a plus. Details
Seniority level: Associate Employment type: Full-time Job function: Finance and Legal Industries: Banking, Financial Services, and Investment Banking
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