Senior Compliance Consultant

| Chicago
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Senior Compliance Consultant
Reports to: President

Who You Are

You will thrive here if you are a highly motivated compliance, risk, and/or legal expert who is used to consulting with clients and loves technology and yearns to join a tech-first organization. The Senior Compliance Consultant will support Ascent’s clients and internal teams with pre-sales and post-sales activities including demonstrations, consulting clients on business problems, and client implementations in financial services, including large global banks, broker-dealers, asset managers, and additional financial services organizations. The Senior Compliance Consultant will also share insights from a practitioner perspective on enhancing existing offerings and product planning of new features. This role is critical for Ascent to ensure that we effectively serve every client’s needs

Job Description:

  • Taking a consultative approach, partner with customers and provide users and clients knowledge and insights that leverage Ascent’s capabilities
  • Own post-sale client implementation of Ascent’s compliance data, including set-up and coordination with customer data where applicable
  • Understand business and compliance-related problems to identify and present innovative solutions to clients
  • Become a model user of our platform and services to amplify your impact
  • Assist with conducting virtual trainings and targeted demos with clients to help in determining optimal solutions to fit their needs based on their regulatory profiles
  • Support internal teams in developing product positioning, messaging, and sales content that resonates and demonstrates differentiation while preserving our core value proposition.
  • Provide feedback to teams on regulatory developments that may enhance Ascent’s positioning or offering
  • Understand regulatory scope

Skills:

  • Application of law and regulation to client and customer use cases
  • Ability to take a methodical approach to understanding client requirements and implementing with Ascent data
  • Detailed knowledge of how to build a regulatory compliance programs across risk, compliance and/or audit.
  • Experience with compliance management process and regulatory change, including work with controls and policies and procedures. Experience defining and working with regulatory obligations preferred but not required
  • Exudes ethical, trusting behavior at all times and instills confidence and trust to clients
  • Ability to determine risk appetites
  • Phenomenal listener and capable of developing a genuine rapport with clients
  • Excellent verbal and written communication skills
  • Ability to manage multiple engagements and work on cross-functional teams in a fast-moving environment, while maintaining devotion to detail-oriented work

Experience:

  • 5+ years of Compliance and/or Risk experience; you have done the job of a Compliance and/or Risk Officer
  • Understanding of how regulations are applied within a Financial Services firm
  • Have implemented regulatory programs and regulatory change management programs
  • Working with complex business processes and systems

Benefits

Ascent employees enjoy many benefits and perks, including:

  • Competitive compensation
  • Medical, dental, and vision insurance; premiums paid 95% for the individual 
  • Medical premiums paid 50% for covered dependents
  • Life insurance 
  • 401K 
  • Commuter benefits 
  • Flexible PTO
  • Professional development stipend
  • The opportunity to work with smart people on challenging problems!

Who We Are

Ascent is a Chicago-based startup that closed its Series B funding round of $19.3M in Fall 2019. Founded only four years ago, the team has since grown to over 50 full time employees, led and supported by an executive team and board of directors with extensive experience in technology, regulatory compliance, sales and business operations. Ascent serves global financial institutions such as ING and CommBank, and is also working directly with regulators around the world in order to continually improve and advance our product.

A first mover in building proprietary RegulationAI™, Ascent delivers market leading regulatory knowledge as a groundbreaking new way for financial firms to manage compliance. It is our mission to help our customers protect their business from regulatory and reputational risk while reducing their overall cost to comply. 

We prioritize diversity, equity, and inclusion and believe strongly that a team with different backgrounds and perspectives produces better results. Together, we are solving a $64 billion global problem in regulatory compliance. Watch this video to learn more about what we do.

Ascent is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

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Technology we use

  • Engineering
    • JavascriptLanguages
    • PythonLanguages
    • RubyLanguages
    • jQueryLibraries
    • ReactLibraries
    • Twitter BootstrapLibraries
    • DjangoFrameworks
    • FlaskFrameworks
    • Ruby on RailsFrameworks
    • MongoDBDatabases
    • Neo4jDatabases
    • PostgreSQLDatabases
    • RedisDatabases

Location

Our neighborhood is your neighborhood! Ascent has embraced a remote culture with a collective commitment to virtual teamwork and open communication.

An Insider's view of Ascent

What are some social events your company does?

Our leadership really believes in building and strengthening our community here at Ascent. We have regular, non-work-related opportunities to connect virtually, including social breakout sessions, lunch & learns (including cooking demos and magic shows!) and games.

Shubhangi

Regulatory Intelligence Analyst

What's the biggest problem your team is solving?

My team coordinates work that needs to be done by both people and machines. We do this by creating delightful interfaces/experiences for our users and by augmenting our workflows with machine learning to produce work that’s intuitive and efficient. This means my team gets to play with fun tech from the frontend all the way to the back.

Conrad

Senior Software Engineer

What makes someone successful on your team?

Prior to joining Ascent, I used to believe "brilliance is evenly distributed but opportunity is not". Here at Ascent, irrespective of your gender, race or color, the opportunity to impact and change the world around you is evenly distributed and all anyone would require to succeed is the passion and desire to solve problems.

Sunkanmi

Software Developer

How do your team's ideas influence the company's direction?

Our job as a leadership team is to provide context, not solutions. The people working directly on a project are in the best position to make decisions, so we hire smart people and then trust them. We're here to support our teams and to make sure efforts are aligned across the company.

Chris

CTO

What are Ascent Perks + Benefits

Ascent Benefits Overview

Everyone brings a unique set of skills and talents, and we want to take advantage of everything you have to offer. We also want to make sure you get as much out of this opportunity as you put in, and we’ll give you the support you need for Ascent to be a transformational period of growth in your career.

Our team enjoys a number of benefits and perks, including:

- Competitive compensation
- Medical, dental, vision, mental health insurance – with individual premiums 95% paid by Ascent
- 401K offered
- Unlimited PTO and Bank Holidays
- Flexible work schedule
- Charitable Matching Gift Program
- Professional development stipend
- Commuter benefits
- The opportunity to work with smart people on challenging problems!

Culture
Friends outside of work
Eat lunch together
Daily stand up
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Pair programming
Open office floor plan
Diversity
Highly diverse management team
Unconscious bias training
Mean gender pay gap below 10%
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Employer-paid Long Term Disability provided, covering up to 60% of annual salary. Voluntary Short Term Disability is also available.
Dental Benefits
Vision Benefits
Health Insurance Benefits
Multiple plan options with Blue Cross Blue Shield, as well an HSA (Heath Savings Account).
Life Insurance
Wellness Programs
Onsite Gym
There is an on-site gym in Prudential Plaza which is free to employees.
Mental Health Benefits
Retirement & Stock Options Benefits
401(K)
Company Equity
Match charitable contributions
Child Care & Parental Leave Benefits
Child Care Benefits
Ascent offers Dependent Care FSA
Generous Parental Leave
We provide up to 12 weeks of parental leave for the primary caretaker. Ascent also provides 3 weeks of leave for the secondary caretaker.
Flexible Work Schedule
Ascent offers a completely flexible scheduling and work from home policy.
Remote Work Program
Family Medical Leave
Return-to-work program post parental leave
Vacation & Time Off Benefits
Unlimited Vacation Policy
Generous PTO
Sabbatical
Paid Holidays
Paid Sick Days
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
Stocked Kitchen
Some Meals Provided
Happy Hours
Professional Development Benefits
Job Training & Conferences
Ascent offers a generous professional development stipend per year.
Lunch and learns
Ascent hosts bi-weekly lunch and learn meetings with internal and external speakers.
Promote from within
Continuing Education stipend

Additional Perks + Benefits

We want to create an environment where people can do their best work. That means supporting our employees in their careers, in their health, and in their lives. We're always looking for ways to concretely demonstrate these values. For example, we pay 95% of our employees' individual health premiums!

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