What are the responsibilities and job description for the Compliance Associate position at Ascendo Resources?
Ascendo is excited to offer an amazing opportunity in the financial services industry!
We’re seeking a Compliance Associate to join a growing team who has experience working in both Broker-Dealer and RIA platforms. If you have a strong attention to detail and a passion for compliance, this could be the perfect fit!
Key Responsibilities:
- Review transactions to ensure compliance with industry regulations.
- Monitor trade activity through reports and surveillance systems.
- Assist with compliance monitoring and escalate issues as needed.
- Maintain regulatory filings and licensing requirements.
- Support compliance training and policy updates.
- Assist in audits and regulatory examinations.
Qualifications:
- 3 years of compliance experience in a broker-dealer setting.
- FINRA Series 7 required (Series 24 is a plus).
- Strong understanding of SEC and FINRA regulations.
- Experience with compliance surveillance and regulatory filings.
- Detail-oriented with strong problem-solving skills.
- Proficiency in Microsoft Office, especially Excel.
- Bilingual (English/Spanish).
Benefits:
- Competitive salary with growth potential.
- Comprehensive health, dental, and vision plans.
- Retirement plan with employer contribution.
- Professional development opportunities.
