Join Us

Work For Ascendant Compliance

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

Firms Encouraged Not to Overlook Oct. 1 Books and Records Changes

While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other changes to Books and Records requirements put forth in the SEC’s final rule release, effective October 1, 2017. The changes to the Rule relate to the retention of documents regarding the calculation of performance data. Rule … Continued

SEC Offers Regulatory Relief to Advisers Affected by Hurricanes

On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act and ’40 Act who were affected by Hurricanes Harvey, Irma or Maria. The relief came in the form of conditional exemptions from certain requirements. The hurricanes, which struck between August and September of 2017, devastated … Continued

SEC Discloses Cybersecurity Breach That May Have Led to Insider Trading

The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last Wednesday, when SEC Chair Jay Clayton revealed that the commission’s EDGAR database had been hacked in 2016 through a software vulnerability in the test filing component of the system. According to Clayton, the breach was … Continued

Ethics: Building a More Ethical Workforce

How to make ethics part of your Firm’s Compliance Culture Where does the requirement to act ethically come from? Dealing with Ethical Dilemmas 2016 SEC Enforcement Cases that pertain to Ethics

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.