What are the responsibilities and job description for the Senior Compliance Associate - RIA position at Ascendo Resources?
Position Overview:
We are seeking a Compliance Associate to support the Chief Compliance Officer (CCO) of our client, a Registered Investment Adviser (RIA). This individual will assist in maintaining and enhancing the firm’s compliance program, ensuring adherence to SEC regulations and internal policies. The ideal candidate will be detail-oriented, proactive, and capable of handling a broad range of regulatory compliance responsibilities.
Key Responsibilities:
- Assist the CCO with the administration of the firm’s compliance program under SEC rules and regulations.
- Monitor employee trading, personal account activity, gifts/entertainment logs, and other Code of Ethics reporting.
- Conduct periodic reviews of marketing materials, client communications, and disclosures to ensure compliance with regulatory standards.
- Assist with the preparation and filing of Form ADV and other required regulatory filings.
- Help manage compliance testing and monitoring activities, including annual reviews.
- Support internal audits and regulatory examinations, including gathering and organizing requested documentation.
- Maintain compliance policies and procedures, ensuring they are up-to-date with regulatory changes.
- Provide training and support to staff on compliance policies and best practices.
- Research and monitor regulatory developments impacting the RIA industry.
- Assist with record keeping and documentation in accordance with SEC requirements.
Qualifications:
- Bachelor’s degree in finance, business, legal studies, or a related field required.
- 3 years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred.
- Strong understanding of SEC regulations, RIA compliance, and investment advisory practices.
- Excellent attention to detail, organizational, and communication skills.
- Ability to handle confidential information with discretion.
- Proficiency with Microsoft Office Suite; experience with compliance software platforms, a plus.
