Investment Advisory Compliance Leader - SEC Oversight

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

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.