Investment Advisory CCO

Ascendo Resources; Miami (FL); On-site; USD 180,000 - 240,000; Full time

Job summary

Ascendo Resources is seeking an Investment Advisory Chief Compliance Officer to lead the firm’s compliance program for RIAs. You will oversee policies, ethics enforcement, and SEC examination readiness while guiding business leaders on regulatory risk and product approvals.

The role requires extensive SEC knowledge, senior leadership experience, and fluency in English and Spanish to support diverse advisory teams.

Qualifications

• 8+ years of compliance experience in securities or wealth management.
• Comprehensive knowledge of SEC regulations for RIAs.
• Experience with SEC examinations, surveillance, testing, and supervisory controls.
• Strong understanding of advisory operations and regulatory risk management.
• FINRA Series 7, 24, and/or Series 65 licenses preferred.
• Bachelor's degree in Finance, Business Administration, or related field.
• Independent, senior, hands-on compliance leadership capability.
• Fluency in English and Spanish.

Responsibilities

• Lead and execute the firm's RIA compliance program aligned with SEC regulations.
• Evaluate policies, controls, and supervisory procedures to meet evolving rules.
• Oversee ongoing compliance surveillance, monitoring, testing, and reviews.
• Manage Code of Ethics administration, personal trading, and conflicts oversight.
• Coordinate SEC examinations, regulatory inquiries, and internal audits.
• Provide guidance on regulatory matters to advisers and business leaders.
• Assess regulatory implications of new products and initiatives.
• Identify deficiencies and implement risk-based remediation.

Skills

SEC regulations knowledge

Regulatory risk management

Compliance program administration

SEC examinations coordination

Bilingual: English & Spanish

Education

Bachelor's degree in Finance/Business

Job description

We are seeking an Investment Advisory Chief Compliance Officer to play a key leadership role within the compliance function of an established Registered Investment Adviser (RIA).

This position is ideal for a seasoned compliance professional with extensive SEC regulatory knowledge, strong supervisory experience, and a hands‑on approach to managing compliance risk within an investment advisory environment.

Responsibilities

• Assist in leading and executing the firm's RIA compliance program, ensuring alignment with SEC regulations and industry best practices.
• Evaluate and strengthen compliance policies, internal controls, and supervisory procedures to address evolving regulatory requirements.
• Oversee ongoing compliance surveillance, monitoring, testing, and reviews of advisory activities and transactions.
• Manage the administration and enforcement of the firm's Code of Ethics, including personal trading and conflicts‑of‑interest oversight.
• Play a leading role in SEC examinations, regulatory inquiries, and internal audits, including coordinating responses and remediation efforts.
• Provide guidance to investment advisers and business leaders on regulatory matters, supervisory obligations, and compliance risks.
• Assess regulatory implications associated with new products, investment strategies, and business initiatives.
• Identify potential compliance deficiencies and implement practical, risk‑based solutions.
• Partner with internal supervision teams on heightened oversight, escalations, and client‑related compliance matters.
• Develop and deliver compliance training to investment professionals and other stakeholders.
• Track regulatory developments and proactively recommend enhancements to the compliance program.

Qualifications

• 8+ years of relevant compliance experience within the securities, investment advisory, or wealth management industry.
• Comprehensive knowledge of SEC regulations and the regulatory framework governing Registered Investment Advisers.
• Demonstrated experience with SEC examinations, compliance surveillance, regulatory testing, and supervisory controls.
• Strong understanding of investment advisory operations, regulatory risk management, and compliance program administration.
• FINRA Series 7, 24, and/or Series 65 licenses preferred.
• Bachelor's degree in Finance, Business Administration, or a related discipline.
• Ability to operate independently in a senior, hands‑on compliance capacity.
• Fluency in English and Spanish required.