Join Us

Work For Ascendant Compliance

West Coast Compliance Sales 

Ascendant Compliance Management, a CSS company, is a national leader in the compliance and regulatory services industry. We have an established brand and are an award winning and innovative company, Ascendant’s products and consulting are proven effective, customized and designed to make compliance a source of strength for our clients.

JOB DESCRIPTION
We are looking for talented and competitive West Coast Sales Representative that thrives on generating new business. The successful candidate will play a major role in achieving our ambitious customer acquisition and revenue growth goals. The Sales Representative makes sales calls on assigned groups of customers via telephone and e-mails, to establish and qualify clients/prospects. The Sales Representative maintains and expands client lists, generates leads, creates opportunities, closes sales, and prepares appropriate documentation. In addition, the Sales Representative is responsible for revenue budget achievement, meeting client quotas, reaching account goals on a monthly, quarterly and/or annual basis, expanding sales, and ensures positive long-term relationships and high potential for repeat business with customers. We have an established customer base for other services and lead generation from conferences but a key element of this role will be making dozens of calls per day, generating interest, qualifying prospects and closing sales for our new product.

Essential Functions & Responsibilities:

  1. Source new sales opportunities through outbound cold calls, inbound lead follow-up and emails
  2. Understand customer needs and requirements
  3. Close sales and achieve quotas
  4. Research accounts, identify key players and generate interest
  5. Maintain and expand your database of prospects
  6. Maintain and follow up on existing customers to ensure optimum levels of customer retention
  7. Telephone prospects to identify appropriate contacts, qualify and drive leads through the sales pipeline
  8. Upsell other services
  9. Remain knowledgeable and up-to-date on changes and developments in the industry and within the company

Competencies

  1. Proven sales experience
  2. Track record of over-achieving quota
  3. Strong phone presence and experience dialing dozens of calls per day
  4. Excellent verbal and written communication skills
  5. Strong listening and presentation skills
  6. Ability to multi-task, prioritize, and manage time efficiently
  7. Genuine desire to grow and learn, as well as contribute positively to a team-oriented work environment.
  8. Technical capacity
  9. BA/BS degree or equivalent work experience

If you are interested in joining one of the fastest growing businesses in the RegTech industry email resume to resumes@ascendantcompliance.com

Equal Opportunity Employer – Minorities/Women/Veterans/Disabled

Senior Consultant

Ascendant Compliance Management Inc, the nation’s leader in compliance innovation for hedge funds, broker dealers and investment advisors, is expanding our consulting department. Having experienced tremendous growth Ascendant is looking for motivated compliance professionals seeking challenges and opportunities. This is a great opportunity to join a successful, growing firm in a fast paced and dynamic environment.

Ideal candidates should possess at least three years of relevant industry experience, a bachelor’s degree and/or J.D. Candidates with more experience and industry certifications will also be considered in lieu of the aforementioned. Candidates will be required to work independently, possess strong organizational skills, work effectively as a team member and proactively engage a diverse group of clients. Candidates must be willing to travel extensively.

Responsibilities

A qualified candidate should have or be able to do the following:

  • A working knowledge of the Investment Company Act of 1940
  • A working knowledge of the Advisers Act of 1940
  • Preparing and maintaining Form ADV
  • Performing mock SEC inspections and annual reviews
  • Assisting clients with ongoing compliance needs
  • Interacting with the SEC, FINRA and other regulatory bodies
  • Developing clients and new business
  • Knowledge of broker dealer and IC regulations a plus

Salary/Benefits

Salary commensurate with experience. Health Insurance and 401K are available. Ascendant Compliance Management, Inc. is an Equal Opportunity Employer supporting diversity in the workplace. In order to be considered for the position candidates must be eligible to work in the U.S.A.

Contact

Send resumes to jhiggins@ascendantcompliance.com

Associate Consultant

Ascendant Compliance Management Inc, the nation’s leader in compliance innovation for hedge funds, broker dealers and investment advisors, is expanding our consulting department. Having experienced tremendous growth Ascendant is looking for motivated recent JD or MBA graduates seeking challenges and opportunities. This is a great opportunity to join a successful and growing firm in a fast paced and dynamic environment.

Position Summary

The Consultant will, in coordination with Ascendant’s Senior Consulting staff, have responsibility for assisting clients with investment advisor regulatory and compliance requirements. Responsibilities include advising our financial services clients on compliance and regulatory issues, conducting mock-SEC exams and risk assessments, assessing compliance risks and controls, participating in client projects, delivering consulting services, preparing education/conference materials and assisting in managing client relationships. Some travel is required.

Qualifications

Potential candidates should possess or be able to do the following:

  • A Juris Doctorate or MBA
  • Superior reading comprehension and writing skills
  • Professional and well organized with a focus on details
  • Be proficient at multi-tasking
  • Professional integrity
  • Expert communication and interpersonal skills
  • Aptitude with Microsoft Office
  • A financial background or having passed a bar examination a plus

Candidates must be detail-oriented and have the ability to achieve goals without direct supervision. This position will require travel throughout the U.S. with the possibility of trips abroad.

Salary/Benefits

Salary commensurate with experience. Health Insurance and 401K are available. Ascendant Compliance Management, Inc. is an Equal Opportunity Employer supporting diversity in the workplace. In order to be considered for the position candidates must be eligible to work in the U.S.A.

Contact

Send resumes to jhiggins@ascendantcompliance.com

Latest Content

Takeaways and Tips Related to SEC Risk Alert on Regulation S-P

On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment advisers and broker-dealers. As with other risk alerts, these were deficiencies noted by OCIE in regulatory examinations. Though the deficiencies were fairly common … Continued

How to Be a Wildly Effective Compliance Officer

Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the firm, and staying on top of new regulations is only part of the job. Compliance Officers are also expected to be flexible and pro-business. So how do you do it all? How can you be … Continued

Mitigating the Risk of Insider Trading

One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading to a charge of insider trading. Advisers should implement controls to mitigate these risks. Steven Stone of Morgan, Lewis & Bockius, LLP, Salvatore Cincinelli of the FBI and David Chaves of Tone at the Top … Continued

Compliance 2.0 – Being a Strategic Partner in Your Firm

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking across industries and nations, the days of drawing a short straw, getting drafted into a compliance role and operating in isolation outside of the business are – or should be – ancient history. Since the … Continued

Mailing List

Subscribe to the Ascendant Compliance email list for the latest compliance resources, conferences, ComplianceCasts™, and more.

Loading form...

Contact Us

Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.