What are the responsibilities and job description for the Compliance Specialist position at Ascendo Resources?
Ascendo is excited to unveil a remarkable opportunity in the thriving financial services arena! Whether you're an experienced compliance professional or just stepping into the regulatory world, this Compliance Specialist role is your chance to climb the ladder in a fast-paced, upward-moving firm. With multiple entry points based on your background and licensing, this is an amazing opportunity to grow, earn, and make an impact where it truly matters. If you have broker-dealer experience and a passion for staying ahead of regulations—this could be the role that elevates your career!
Responsibilities:
- Support compliance leadership with preparation of regulatory responses and documentation.
- Help manage and organize compliance files, including those related to regulatory bodies.
- Collaborate on internal audits and assist with due diligence efforts.
- Assist in the registration, licensing, and ongoing monitoring of registered representatives.
- Help ensure policies and procedures are maintained according to industry standards.
- Participate in compliance reviews and aid in the evaluation of firm communications.
Qualifications:
- Prior experience working in a broker-dealer compliance environment is required.
- Must be able to obtain required licenses (Series 7 and/or Series 24) within designated timeframes.
- Candidates with Series 7 and/or Series 24 are eligible for higher-level consideration.
- Bachelor's degree required.
- Ability to work under pressure and manage multiple priorities.
- Strong written and verbal communication skills.
- High attention to confidentiality and detail.
- Comfortable working both independently and in a team setting.
Compensation Levels:
- Analyst Level: Broker-dealer experience only (must obtain Series 7 within 6 months)
- Mid Level: Broker-dealer experience Series 7 (must obtain Series 24 within 6 months)
- Senior Level: Broker-dealer experience Series 7 Series 24 (higher compensation available)
ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT.
