What are the responsibilities and job description for the Compliance Officer Lead position at Ascendo Resources?
At Ascendo Resources, we are seeking a seasoned Compliance Officer to spearhead our compliance initiatives and drive regulatory excellence. This high-impact role offers the opportunity to shape and strengthen our firm's compliance framework while collaborating with professionals in marketing, technology, and investment management.
This position is responsible for developing, implementing, and overseeing the firm's SEC compliance program, ensuring adherence to best practices and exceeding regulatory requirements.
- Drafting, enhancing, and enforcing compliance policies and procedures aligned with SEC, CFTC/NFA, and FINRA regulations
- Reviewing and optimizing the firm's compliance control structure to mitigate risks and maintain regulatory integrity
- Evaluating all marketing, advertising, and investor service-related materials for compliance
- Handling regulatory filings and serving as the primary liaison for SEC exams and inquiries
- Conducting and overseeing AML/KYC checks, including supervision of third-party administrators
- Maintaining legal agreements with third-party vendors and collaborating with outside counsel on compliance-related legal matters
- Collaborating with investment, operations, and technology teams to implement compliance solutions seamlessly
Key Qualifications:
- 5 years of SEC/RIA compliance experience, with at least 3 years in a leadership role
- Bachelor's degree required; Juris Doctor (JD) preferred
- Extensive experience in the hedge fund/private fund or asset management industries
- In-depth knowledge of the Investment Advisers Act of 1940 and SEC regulations
- Strong leadership and project management skills, with the ability to drive execution in a fast-paced environment
- Ability to manage multiple projects, set priorities, and collaborate with stakeholders across the firm
