Senior Compliance Associate - SEC

Senior Compliance Associate

Ascendo is excited to present this opportunity in the Finance industry. We are seeking a proactive and strategic Senior Compliance Associate to join a premier financial organization. This vital position focuses on safeguarding corporate integrity and maintaining regulatory standards across all business lines through cross-departmental collaboration. The ideal candidate will possess 5+ years of SEC/RIA compliance experience, a strong background in private funds or asset management, and proven success overseeing compliance operations.

Responsibilities:

• Evaluate and optimize corporate compliance policies, internal procedures, and control structures.
• Execute and refine the overarching regulatory compliance framework.
• Evaluate promotional, marketing, and client-facing materials to ensure regulatory alignment.
• Supervise regulatory submissions and coordinate external examinations.
• Manage anti-money laundering (AML) and know-your-customer (KYC) verifications while overseeing third-party administrators.
• Organize institutional legal documentation and collaborate with external counsel regarding vendor agreements.

Qualifications:

• Deep familiarity with regulatory standards spanning the SEC, FINRA, CFTC, and NFA, with specific expertise in the Investment Advisers Act of 1940.
• Extensive background working within hedge funds, private funds, or the asset management sector.
• 5+ years of dedicated SEC or RIA compliance experience.
• Demonstrated expertise in developing, deploying, and tracking corporate compliance initiatives.
• Strong project management capabilities with the agility to navigate fast-paced professional environments.
• Completed Bachelor's degree.

Benefits:

• Competitive health coverage
• Company-sponsored retirement options
• Professional growth and training opportunities
• Team-oriented and supportive environment

ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT.