Chief Compliance Officer, Corporate -Legal
Ascensus(2 days ago)
About this role
Ascensus, a leading technology and service platform for savings plans, is seeking a Chief Compliance Officer to oversee compliance across its operating businesses, broker-dealers, and investment advisors. The role involves managing regulatory adherence, developing compliance policies, and leading a team to support company growth and regulatory requirements.
Required Skills
- Regulatory Compliance
- Securities
- Investment Products
- Policy Development
- Regulatory Filings
- AML
- Risk Management
- Team Leadership
- Legal Compliance
- Financial Regulations
Qualifications
- BS
- 15+ Years Experience in Broker-Dealer and Investment Advisor Compliance
- Series 7, 24, 51 or 53 Licenses
- Certified Regulatory Compliance Manager (CRCM)
About Ascensus
ascensus.comEveryone deserves to feel financially secure. We help more people save through partnerships with leading financial institutions and state governments.
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