Base: $250-300k; bonus/equity: not specified; bene...
Hybrid
Oversee regulatory exams and audits
Advise senior management on regulatory initiatives
Manage aml/cip/cid/sar policies
The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies
Job Summary
The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies.
Manage and lead a team of compliance professionals who support multiple business units, developing a high performing team through effective recruitment, training, performance management, mentoring, motivation and coaching.
The national average salary range for this role is $250-300k in base pay, exclusive of any bonuses and benefits.
Matching Summary
The Chief Compliance Officer is responsible for overseeing and managing the compliance of Ascensus’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies.