Investment Advisory Compliance Leader - SEC Oversight
Listed on 2026-10-15
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Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Corporate Finance, Risk Manager/Analyst -
Management
Regulatory Compliance Specialist, Risk Manager/Analyst
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.
Are you ready to take on the Investment Advisory Compliance Leader - SEC Oversight role at Ascendo Resources?
If your experience matches this role, we encourage you to apply.
All applications are reviewed carefully by our team.
The position is based in Miami, FL, United States.
This opportunity is part of our work in Finance, Legal.
The advertised compensation is 180..
We aim to respond to suitable candidates as soon as possible.
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