ASCENT

Compliance. Simplified.

About

In an era of expanding regulation, maintaining compliance is more difficult than ever. Ascent is focused exclusively on assisting you with keeping your business compliant. After all, you don’t know what you don’t know.


Ascent provides an innovative set of tools built on an algorithm that helps you analyze the business activities you undertake, informs you about potential compliance obligations, and assists you in tracking and complying with relevant requirements. Formulated to serve the financial services industry, Ascent's cloud-based set of solutions also include issue tracking and management, industry reference and research materials, and compliance manual documentation.


Formulated from professionals in the financial services sector, Ascent seeks to enable companies to pursue regulatory compliance at a fraction of the cost of traditional resources.


Ascent: Compliance. Simplified.

Benefits

Ascent’s flagship tool, Navigator, will assist you in tracking and understanding the compliance obligations you’ve selected.

An Innovative Analysis Tool for determining your Compliance Requirements.

Modular design for easy review of applicable regulations.

Utilize ModBuilder to created a personalized module to create a single, robust compliance ecosystem for your entire firm.

Create and manage all internal and external complaints and compliance issues via our simple IssueTracker tool.

Easily search reference documentation and assigned rules for key words. Kiss those hours of research and CTRL-F searching goodbye!

Team

Brian Clark, CEO

Brian has 7 years of regulatory compliance experience including derivatives exchanges, market investigations, clearinghouse compliance, and registered brokerage businesses. He has an Economics degree from the University of Illinois, a Juris Doctor degree from DePaul University, and is currently in pursuit of his MBA at the University of Chicago’s Booth School of Business

Aaron Droba, CCO

Aaron has deep experience in marketplaces, working both as a floor trader and electronic trader in multiple asset classes at each of the major Chicago exchanges. Aaron has a degree from the University of Illinois in Finance, and is pursuing his MBA at the University of Chicago’s Booth School of Business.

Jake Siddall, CTO

Jake Siddall is the team’s technology strategist and operations expert, with significant experience in driving scalable change at firms large and small. A veteran of the trading and financial exchange world, Jake completed his undergraduate degree at University of Michigan with a concentration in General Studies and later completed his MBA at Kellogg School of Management with concentrations in Decision Sciences, Marketing, and Finance.

Jon Aldrerman, CFO

Jon Aldrerman is the quintessential financial services hybrid, having worked in managed teams in quantitatively-based financial services consulting, and working directly with financial modeling and risk management at multiple well-known firms. He attended the University of Illinois where he earned a dual degree in Finance and Actuarial Science, and is currently attending the University of Chicago’s Booth School of Business.

Contact

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