What are the responsibilities and job description for the Risk Management Specialist position at Ascendo Resources?
We are seeking a highly skilled Risk Management Specialist to join our team at Ascendo Resources. This individual will be responsible for developing and implementing a comprehensive risk management strategy that ensures the firm's regulatory compliance and maintains its reputation.
The successful candidate will have extensive experience in SEC/RIA compliance, with a strong background in managing complex regulatory environments. They will be responsible for drafting, enhancing, and enforcing compliance policies and procedures, as well as reviewing and optimizing the firm's compliance control structure.
- Developing and implementing a risk management strategy to mitigate risks and maintain regulatory integrity
- Ensuring full alignment with SEC, CFTC/NFA, and FINRA regulations through policy development and enforcement
- Collaborating with investment, operations, and technology teams to implement compliance solutions seamlessly
- 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
Required Skills and 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
