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.
- 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
- 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
- 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
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
- 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.