Chief Compliance Officer, Corporate - Legal

Ascensus is seeking a Chief Compliance Officer to oversee and manage compliance across its operating businesses, including broker-dealers, registered investment advisors, and transfer agents. This role is integral to ensuring adherence to applicable laws, regulations, and internal policies within a company dedicated to helping nearly 16 million people save for a better future.

The Chief Compliance Officer will be responsible for developing and managing the department's vision and priorities, serving as the CCO for various entities, advising senior management on regulatory initiatives, and acting as a liaison with regulators such as FINRA, SEC, MSRB, and state banking regulators. Additional duties include overseeing regulatory exams and audits, drafting and maintaining compliance policies and procedures, and coordinating with internal operational groups to implement necessary compliance changes.

Candidates must possess a bachelor's degree, with an advanced degree preferred, and have a minimum of 15 years of experience in broker-dealer and investment advisor compliance. Required securities licenses include Series 7, Series 24, and either Series 51 or Series 53, or a willingness to obtain them within six months. A Certified Regulatory Compliance Manager (CRCM) certification is required, with other risk-related certifications considered desirable. Strong negotiation, leadership, and analytical skills are essential.

The position offers a competitive base salary ranging from $250,000 to $300,000 annually, exclusive of bonuses and benefits. Additional benefits include a 401(k) match, medical, dental, and vision insurance, paid time off, and relocation assistance if applicable.

Ascensus fosters a culture guided by core values of "People Matter, Quality First, and Integrity Always," emphasizing respect, inclusion, and continuous improvement. The company provides opportunities for professional growth and development within a supportive and dynamic environment.