What are the responsibilities and job description for the Compliance Analyst position at Ascendo Resources?
Join a collaborative compliance team where you'll play a key role in supporting the day-to-day operations of a Broker-Dealer and Investment Advisor. This position is responsible for assisting in maintaining full regulatory compliance with FINRA, SEC, state, and federal requirements. You'll help prepare responses to internal and external audits, gather and compile data for reporting, and assist with due diligence, training, and documentation processes.
What You'll Do:
- Compile reports and data for senior compliance leadership.
- Assist with audit and regulatory requests.
- Participate in mini audits and ad hoc compliance projects.
- Help manage registration, due diligence, and termination processes for new hires.
- Maintain and update registered personnel files in accordance with regulatory standards.
- Support employee training programs and annual compliance initiatives.
- Aid in reviewing communications, personal trading activities, and outside business disclosures.
- Contribute to AML-related reviews and new account documentation processes.
What You’ll Bring:
- Bachelor’s degree required.
- FINRA SIE and Series 7 must be obtained within six months of hire.
- Strong organizational skills and the ability to handle multiple priorities.
- Clear written and verbal communication skills across all levels.
- Ability to thrive in a fast-moving, interrupt-driven environment.
- Proficiency in Microsoft Office.
- High level of discretion with confidential information.
- Self-motivated with the ability to work independently and efficiently.
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.
