Chief Compliance & Regulatory Strategy Lead

Ascendo Resources; Miami (FL); On-site; USD 220,000 - 320,000; Full time

Job summary

Ascendo Resources seeks an experienced Head of Compliance to lead the regulatory compliance program across its broker-dealer and investment adviser businesses in the United States. The role requires deep expertise in securities regulations and active FINRA licensing to guide senior management and business leaders.

The candidate will oversee policies, controls, examinations, and regulatory filings, while mentoring the Compliance team and coordinating with regulators to ensure ongoing adherence to

Qualifications

• 10+ years of progressive securities compliance experience, including significant broker-dealer/RIA exposure.
• Active FINRA Series 24 required; Series 7 and additional licenses preferred.
• Strong knowledge of FINRA and SEC rules and the Investment Advisers Act of 1940.

Responsibilities

• Lead and oversee the firm's broker-dealer and investment adviser compliance programs.
• Serve as a senior compliance resource to executive leadership, registered representatives, and business teams.
• Maintain and enhance compliance policies, procedures, controls, and WSPs.
• Ensure compliance with FINRA, SEC, Investment Advisers Act, and securities regulatory requirements.
• Oversee supervisory activities, monitoring, surveillance, testing, and risk assessments.
• Provide guidance on Reg BI, suitability, conflicts of interest, communications, advertising, and sales practices.
• Oversee the review and resolution of customer complaints and regulatory inquiries.
• Monitor activity of registered representatives and financial advisors; ensure supervisory controls.
• Oversee electronic communications and communications-with-the-public review programs.
• Manage regulatory filings, registrations, annual certifications, and other compliance obligations.
• Lead and coordinate FINRA/SEC examinations, regulatory inquiries, internal audits, and independent reviews.
• Serve as primary regulator liaison and coordinate responses to regulatory requests.
• Identify compliance deficiencies and oversee remediation efforts.
• Monitor regulatory developments and update policies accordingly.
• Partner with Legal, AML, Operations, Risk, Technology, and senior leadership on regulatory matters.
• Provide compliance guidance on new products, services, and business initiatives.
• Develop and deliver compliance training for employees, advisors, and registered personnel.

Skills

Regulatory leadership

Securities regulations

Training & mentoring

Cross-functional collaboration

Risk assessments

Reg BI expertise

Policy development

Communication skills

Leadership experience

Regulatory exams coordination

Education

Bachelor's degree in a related field

Advanced compliance designation preferred

Job description

Ascendo Resources seeks an experienced Head of Compliance to lead the regulatory compliance program across its broker-dealer and investment adviser businesses in the United States. The role requires deep expertise in securities regulations and active FINRA licensing to guide senior management and business leaders.

The candidate will oversee policies, controls, examinations, and regulatory filings, while mentoring the Compliance team and coordinating with regulators to ensure ongoing adherence to