Our Story

Ascendant Compliance Management, with offices in Connecticut, New York and San Francisco, was founded in 2006 by the leaders and founders of successful compliance consulting companies and the nonprofit National Society for Compliance Professionals.

Our experienced team shares a philosophy and commitment to innovation, to the highest quality client service and to educational training and technological solutions for investment managers, broker dealers, hedge and private equity funds worldwide.

Ascendant offers innovative compliance consulting: we are solution providers who bring our clients customized compliance and operational solutions that allow them to focus on growing their businesses. We provide defined outcomes and support services tailored to what each client needs.  Leveraging from the thousands of firms we have visited and serviced over the years, we prepare best practice procedures that will help preserve your hard-won reputation.

Ascendant Compliance Management can help your business put compliance into perspective by guiding you through the regulations. By ensuring that senior management understands compliance controls arrangements, we aim to ensure that good compliance becomes an integral part of the way your firm conducts business. Our philosophy is straightforward: compliance should not be difficult. By removing the complexities and addressing misapprehensions, we aim to make compliance a source of strength for our clients.

Ascendant will help your firm create a culture of compliance and make compliance a source of strength, wherever you operate.

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Ascendant is part of Compliance Solutions Strategies (“CSS”), a privately owned, leading provider of technology-enabled regulatory and compliance solutions to the financial services industry. The CSS RegTech platform provides a comprehensive offering encompassing regulatory reporting, data management, outsourced compliance management services, compliance workflow tools, shareholding disclosure, trade monitoring, trading analytics and cybersecurity solutions for the global financial services industry.

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

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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.