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Ascendo Resources · 11 hours ago

Compliance Associate - Entry level

Fort Lauderdale, FL

Full-time

Onsite

New Grad, Entry Level

Ascendo Resources is a firm focused on compliance solutions, and they are seeking a Compliance Associate to support their compliance program. The role involves working closely with senior compliance professionals to ensure adherence to regulatory requirements and providing general compliance support.

Human ResourcesStaffing Agency

Responsibilities

Assist with day-to-day compliance monitoring and administrative support

Support reviews of client accounts, new account documentation, and transaction activity

Assist with surveillance reviews related to trading activity, suitability, and best execution

Help maintain compliance records, logs, and regulatory filings

Support preparation for audits, regulatory exams, and internal reviews

Assist with reviewing marketing materials, correspondence, and client communications

Help update and maintain written supervisory procedures (WSPs)

Stay current on regulatory rules, firm policies, and industry best practices

Provide general compliance support to advisors and internal teams

Qualification

Compliance knowledgeFinancial services experienceMicrosoft OfficeDiscretionAttention to detailOrganizational skillsWritten communicationVerbal communication