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

Coming to America – California Adopts GDPR-Like Privacy Regulation

After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s General Data Protection Regulation (GDPR), advisers to U.S. clients will soon be facing similar requirements on the home front.  On the heels of the Cambridge Analytica scandal, California enacted the California Consumer Privacy Act of … Continued

SEC and FINRA 2019 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including: Protecting retail investors Fees and expenses Disclosure Conflicts of interest Suitability Protecting senior investors Trading … Continued

SEC Reopened After 35-Day Government Shutdown

SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission has resumed normal staffing levels and is returning to normal operations.” In total, about 94% of the commission’s approximately 4,400 employees had been furloughed during the 35-day shutdown, according to its operations plan. In a … Continued

FINRA Rolls Out New Central Registration Depository Functionality; Annual Verification Deadline Nears

FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support of FINRA’s restructured qualification examination program as well as the adoption of consolidated FINRA registration rules. The new enhancements were intended to also more easily assist member firms with satisfying their reporting and compliance obligations. … 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.