Senior Deputy CCO: RIA Compliance & SEC Oversight
Ascendo Resources
Ascendo Resources is seeking an experienced Deputy Chief Compliance Officer to oversee the compliance program for a Registered Investment Adviser (RIA) in Miami. This senior, hands-on role requires deep knowledge of SEC regulations, investment advisory compliance, surveillance, supervision, and regulatory examinations. You will lead development and enhancements of the RIA program, manage ethics policies, monitor regulatory developments, and coordinate examinations, audits, and information #J-18808-Ljbffr Ascendo Resources
Vacancy posted 1 day ago
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