Senior SEC Compliance Leader - RIA & Examinations Expert

Ascendo Resources; Miami (FL); On-site; USD 120,000 - 190,000; Full time

Job summary

Ascendo Resources in Miami, FL is seeking an experienced Senior Compliance Officer to lead and enhance the firm’s SEC/RIA compliance program, oversee regulatory examinations, surveillance, and risk oversight for investment professionals.

The role requires 8+ years in securities compliance, strong SEC-RIA experience, and bilingual English/Spanish (Portuguese a plus). The successful candidate will collaborate with leadership to implement controls and respond to external reviews.

Qualifications

• 8+ years of securities industry compliance or supervision experience.
• Strong SEC-registered investment adviser (RIA) compliance expertise.
• Experience with regulatory examinations, surveillance, and risk management.
• Excellent communication, analytical, and organizational skills.
• Bilingual English/Spanish required; Portuguese is a plus.

Responsibilities

• Support the development and ongoing management of the firm’s SEC compliance program.
• Monitor regulatory developments and assess their impact on the firm.
• Maintain the Code of Ethics and applicable compliance policies and procedures.
• Lead monitoring, surveillance, supervision, and new business review activities.
• Identify compliance and regulatory risks and implement appropriate controls.
• Serve as a key compliance resource for investment professionals and business leadership.
• Support SEC examinations, regulatory inquiries, and other external reviews.
• Coordinate regulatory requests and documentation with outside counsel and consultants as needed.
• Oversee remediation and corrective actions resulting from regulatory or internal reviews.
• Support compliance training, annual certifications, and internal audits.
• Participate in the onboarding and supervision of investment professionals.

Skills

SEC compliance

RIA compliance

Regulatory examinations

Risk management

Communication

Bilingual (English/Spanish)

Portuguese a plus

Job description

Ascendo Resources in Miami, FL is seeking an experienced Senior Compliance Officer to lead and enhance the firm’s SEC/RIA compliance program, oversee regulatory examinations, surveillance, and risk oversight for investment professionals.

The role requires 8+ years in securities compliance, strong SEC-RIA experience, and bilingual English/Spanish (Portuguese a plus). The successful candidate will collaborate with leadership to implement controls and respond to external reviews.