Compliance Analyst - RIA/SEC

Outstanding Opportunity: Regulatory Compliance Leader on an Upward TrajectoryAscendo is excited to present this opportunity in the finance industry. We are partnering with a growing organization to find an energetic and driven professional to champion their regulatory initiatives. This is an amazing opportunity to shape corporate integrity and guide operational excellence at a highly respected firm. A successful applicant will possess a solid foundation in SEC and RIA compliance, a history of managing regulatory programs within the private investments space, and the leadership skills necessary to drive a culture of strict regulatory adherence.ResponsibilitiesEvaluate promotional and client communications to ensure complete alignment with current regulatory guidelines.Administer comprehensive client verification protocols and oversee relationships with third-party administrators.Create, refine, and execute broad compliance frameworks and essential internal control systems.Direct regulatory reporting processes and coordinate responses for any upcoming official examinations.Collaborate with external legal advisors regarding corporate contracts and the maintenance of vital legal records.QualificationsPrevious professional background within private funds, asset management, or similar financial services environments.4+ years of dedicated experience focused on SEC and RIA compliance.Exceptional project management capabilities and the capacity to guide cross-functional teams effectively in a fast-paced setting.Bachelors degree from an accredited institution is required.Comprehensive understanding of the Investment Advisers Act of 1940 and other relevant financial regulatory rules.ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT.