What are the responsibilities and job description for the Compliance Officer position at Ascendo Resources?
We are seeking a Compliance Officer to join a growing team in New York. As a Compliance Officer, you will play a critical role in ensuring that our firm adheres to regulatory requirements and industry best practices. You will work closely with our compliance team to develop and maintain effective compliance programs, monitor regulatory changes, and provide guidance on compliance-related matters.
Key Responsibilities:
- Monitor and analyze changes in relevant laws and regulations. Ensure that company policies and procedures are updated in accordance with these changes.
- Conduct internal audits and risk assessments to identify potential compliance issues. Prepare reports with findings and recommendations for corrective actions.
- Maintain accurate records of compliance activities, audit results, and correspondence. Prepare detailed reports for management and regulatory bodies as needed.
- Assist in the development, implementation, and updating of compliance policies and procedures. Ensure they align with legal requirements and industry best practices.
- Develop and deliver training programs to staff on compliance-related topics. Ensure employees are informed about regulatory changes and company policies.
- Investigate compliance-related issues and complaints. Work with relevant departments to resolve issues and implement corrective measures.
- Work closely with other departments, including Legal, Finance, and Operations, to ensure integrated compliance efforts. Provide guidance and support to teams on compliance matters.
Qualifications:
- Bachelor's degree in Finance, Business Administration, Law, or related field.
- 5 years of experience in compliance roles within the financial services industry.
- Strong analytical skills with the ability to interpret and apply complex regulatory requirements.
- Excellent written and verbal communication skills, with the ability to effectively communicate compliance concepts and requirements.
- Detail-oriented and organized, with the ability to prioritize tasks and manage multiple projects simultaneously.
Ascendo is a certified minority owned staffing firm, and we welcome and celebrate diversity.
Ascendo is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, political affiliation, sexual orientation, marital status, disability, genetic information, age, parental status, military service or any other characteristic protected by federal, state or local law.
Salary : $100,000 - $110,000
