Senior Compliance Officer Job at Ascendo Resources, Miami, FL

  • Ascendo Resources
  • Miami, FL

Job Description

We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing and enhancing the firm’s SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight.

Responsibilities

  • Support the development and ongoing management of the firm’s SEC compliance program.
  • Monitor regulatory developments and assess their impact on the firm.
  • Maintain the Code of Ethics and applicable compliance policies and procedures.
  • Lead monitoring, surveillance, supervision, and new business review activities.
  • Identify compliance and regulatory risks and implement appropriate controls.
  • Serve as a key compliance resource for investment professionals and business leadership.
  • Support SEC examinations, regulatory inquiries, and other external reviews.
  • Coordinate regulatory requests and documentation with outside counsel and consultants as needed.
  • Oversee remediation and corrective actions resulting from regulatory or internal reviews.
  • Support compliance training, annual certifications, and internal audits.
  • Participate in the onboarding and supervision of investment professionals.

Qualifications

  • 8+ years of securities industry experience in compliance or supervision.
  • Strong SEC-registered investment adviser (RIA) compliance experience.
  • Experience with regulatory examinations, surveillance, monitoring, and risk management.
  • Bachelor’s degree required.
  • Strong communication, analytical, and organizational skills.
  • Bilingual English/Spanish required; Portuguese is a plus.

Job Tags

Full time

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