Deputy CCO - Advisory

Ascendo Resources; Miami (FL); On-site; USD 180,000 - 300,000; Full time

Job summary

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

Qualifications

• Bachelor’s degree in Finance, Business Administration, or related field.
• 8+ years of securities industry experience in compliance and/or a supervisory capacity.
• Strong knowledge of SEC regulations and Registered Investment Adviser (RIA) compliance requirements.
• Experience with regulatory examinations, surveillance, supervision, and compliance testing.
• Preferred licenses – Series 7 and 24 Series 65.

Responsibilities

• Support the development, implementation, and ongoing enhancement of the RIA compliance program.
• Maintain and administer the Firm’s Code of Ethics and related policies and procedures.
• Monitor SEC regulatory developments and assess their impact on the business.
• Conduct compliance monitoring, surveillance, new business, and transaction reviews.
• Identify compliance and regulatory risks and implement appropriate controls and corrective actions.
• Serve as a key compliance resource for investment professionals and internal stakeholders.
• Support regulatory examinations, audits, and information requests, including coordination with outside counsel and consultants.
• Oversee remediation and corrective actions resulting from regulatory or internal reviews.
• Review and enhance written supervisory and compliance procedures.
• Lead compliance initiatives related to new investment products and offerings.
• Support compliance training, education, and onboarding of investment professionals.
• Partner with Supervision and other internal teams on heightened supervision and client communications.

Skills

Strong analytical skills

Strong organizational skills

Strong communication skills

Education

Bachelor’s degree in Finance, Business Administration, or related field

Job description

Seeking an experienced Deputy Chief Compliance Officer who will be responsible for oversight of a compliance program for a Registered Investment Adviser (RIA).

This is a senior, hands‑on compliance role requiring deep knowledge of SEC regulations, investment advisory compliance, surveillance, supervision, and regulatory examinations.

Responsibilities

• Support the development, implementation, and ongoing enhancement of the RIA compliance program
• Maintain and administer the Firm’s Code of Ethics and related policies and procedures
• Monitor SEC regulatory developments and assess their impact on the business
• Conduct compliance monitoring, surveillance, new business, and transaction reviews
• Identify compliance and regulatory risks and implement appropriate controls and corrective actions
• Serve as a key compliance resource for investment professionals and internal stakeholders
• Support regulatory examinations, audits, and information requests, including coordination with outside counsel and consultants
• Oversee remediation and corrective actions resulting from regulatory or internal reviews
• Review and enhance written supervisory and compliance procedures
• Lead compliance initiatives related to new investment products and offerings
• Support compliance training, education, and onboarding of investment professionals
• Partner with Supervision and other internal teams on heightened supervision and client communications

Qualifications

• Bachelor’s degree in Finance, Business Administration, or related field
• 8+ years of securities industry experience in compliance and/or a supervisory capacity
• Strong knowledge of SEC regulations and Registered Investment Adviser compliance requirements
• Experience with regulatory examinations, surveillance, supervision, and compliance testing
• Preferred licenses - Series 7 and 24 Series 65
• Strong analytical, organizational, and communication skills