Compliance & Risk

Our resources provide proven experience. Our consultants have held positions in federal law enforcement, corporate investigation departments, public accounting, private financial sectors, law firms and regulatory bodies. Ascendo collaborates with our clients to create a strategy tailored to meet the client’s internal structure, corporate objectives and budget. Our skilled team can support and contribute with AML/BSA compliance, regulatory compliance, regulatory relationships and forensic needs.
Selected industries include:
  • Domestic & foreign banking
  • Broker/dealers
  • Insurance
  • Money services business
  • Financial services
  • High value item dealers
  • Import/export
  • Healthcare
  • Accounting & law firms
  • Real estate & construction
  • Manufacturing & distribution
  • Casino & gambling
  • Travel & leisure
  • Retail

REPRESENTATIVE JOB TITLE



  • Chief Compliance Officer


  • AML Director


  • BSA Officer


  • Bank Compliance Specialists


  • Forensic Look-Backs

JOB FUNCTIONS



  • BSA/AML/KYC Compliance


  • Enforcement Action Assistance & Remediation


  • Suspicious Activity Reporting


  • Know Your Customer


  • Transaction Monitoring

REPRESENTATIVE JOB TITLE



  • Chief Risk Officer


  • Risk Managers (Operational Risk, Credit/Market, Enterprise Risk)


  • Risk Analyst

JOB FUNCTIONS



  • Risk Modeling


  • Quantitative Analysis


  • Knowledge of Regulatory Bodies


  • ERM Framework, Policies & Procedures


  • Operational Risk Management Framework


  • Regulatory Compliance Risk Managements

Frequently Asked Questions

Compliance and risk are interrelated but not the same. As it relates to Financial Services, Risk management involves identifying and evaluating all risks faced by an organization, whilst formulating a response to mitigate those risks. Meanwhile, compliance management relates to following the applicable laws, regulations, codes of conduct, internal policies, and best practices to reduce the likelihood of economic loss or damage to reputation. This means that non-compliance, in itself, is a risk – and it is where the overlap occurs.
Ascendo’s experienced Financial Services recruiters will start by asking you a few questions about your experience and background. If you have a degree in finance, business, economics or the like, relevant experience in the field, and the required professional certifications, you’ll be a great candidate for one of our many risk & compliance roles. Learn more.
The demand for compliance and risk professionals has been on the rise for years and at Ascendo, our Financial Services recruiters stay ahead of the competition by sourcing the best talent and securing the best placements. First, we use a dynamic search criterion that will yield the most qualified candidates. Second, we make sure the salary is in line with the market rate. Third, we use compliance consultants to leverage the ever-growing contract market. Lastly, we offer what most of today’s employees seek, the opportunity for a structured career progression.
Compliance and Risk roles are evolving and finding candidates with the right skill sets is a higher priority than ever before. Besides the relevant background and experience required, our Financial Services recruiters also look for the following 5 essential skills:

  • The ability to interpret language and work within gray areas.
  • The ability to make a detailed analysis while maintaining the view of the big picture.
  • The ability to relate rules to real-life situations.
  • The ability to be in an undivided and unbiased state while executing their tasks.
  • The ability to problem-solve with sound judgement and pre-planned steps.
There are many compliance and risk jobs within various industries, here are some of the most common ones within the Financial Services Sector which is where the most roles are:

  • AML analyst
  • Enterprise Risk Analyst
  • BSA Compliance Officer
  • Supervisory Officer
  • Risk and Controls Officer
  • AML Officer
  • Chief Compliance Officer
  • Operational Risk Officer
  • Credit risk Officer
  • Market Risk Officer