Section 1: Position Summary

Supports Ascensus regulated entities and enterprise-wide business lines and brands in providing its services as a retirement savings recordkeeper, third-party administrator, and government savings facilitator. The regulated entities may include a broker-dealer, registered investment advisory firms, and transfer agent securities activities that work in tandem to deliver comprehensive tax-advantaged savings solutions to institutional clients.

Section 2: Job Functions, Essential Duties and Responsibilities

• Assists with the development, implementation, and supervision of an effective Regulated Entity compliance program designed to comply with the applicable SEC, FINRA, MSRB, and state laws, rules, and regulations.

• Prepares, implements, and monitors Compliance Department policies and procedures to ensure accuracy, relevance, and compliance; Maintains the Ascensus Anti-Money Laundering (AML) compliance program; Assists with various aspects of the due diligence process of third party investment managers as performed by the Compliance Department;

• Prepares and submits various regulatory filings, as assigned.

• Performs compliance principal functions as assigned.

• Leads efforts to assure compliance with the lost shareholder requirements of the Ascensus transfer agent pursuant to SEA Rule 17Ad-17 and the Ascensus escheatment function as directed.

• Assists in key Compliance Department initiatives and projects as assigned.

• Proactively identifies areas for process improvement and turns recommendations into action.

• Works in a fast-paced, dynamic environment with a high degree of urgency and accuracy

• Manages multiple tasks effectively and responds to unplanned issues while adhering to aggressive deadlines for multiple initiatives.

• Proactively and independently researches issues, gathers evidence, and successfully works with various departments.

• Communicates effectively across all functional areas, including all levels of associates institutional clients, and with regulators.

• Ascensus core values of People Matter, Quality First and Integrity Always® are visible in your actions on a day-to-day basis showing support of our organizational culture.

Section 3: Experience, Skills, Knowledge Requirements

• Bachelor’s degree in related field, or proven experience in financial services (i.e., broker-dealer and/or investment adviser) compliance

• Minimum seven years of industry experience with at least five years in a compliance or regulatory role and demonstrates a significant working knowledge of the relevant rules and regulations associated with Compliance Department responsibilities (i.e., SEC, FINRA, Investment Advisors Act of 1940, MSRB, and State regulations as appropriate)

• FINRA Series 6 and 26 or equivalent licensing is required.

• Municipal securities registration (Series 50, 51/53) and Series 54 registration (Municipal Advisor Principal Qualification Examination) registrations are required within 6 months of hire.

• Self-motivated, proactive, and energetic team player

• Strong analytical, problem solving, and organizational skills.

• Detail-oriented, PC proficient, flexible, committed to quality.

Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.com email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws (“Protected Status”).