About this opportunity
Ascendo Resources lists this Investment Advisory Compliance Leader - SEC Oversight opportunity in miami, Florida. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Ascendo Resources is seeking an Investment Advisory Chief Compliance Officer to lead the firm’s compliance program for RIAs. You will oversee policies, ethics enforcement, and SEC examination readiness while guiding business leaders on regulatory risk and product approvals.
The role requires extensive SEC knowledge, senior leadership experience, and fluency in English and Spanish to support diverse advisory teams.
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Worksite address
miami, FL, 33222, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.