ASCENT

Compliance. Simplified.

About

In an era of expanding regulation, Ascent helps financial services firms keeping their businesses compliant. After all, you don’t know what you don’t know.


The Ascent platform analyzes your business activities, informs you about potential compliance obligations, and assists you in tracking and complying with relevant requirements. Our cloud-based solutions include issue tracking and management, industry reference and research materials, and compliance manual documentation.


Formulated by professionals in the financial services sector, Ascent enables your firm to pursue regulatory compliance at a fraction of the cost of traditional resources.


Ascent: Compliance. Simplified.

Benefits

Effortlessly maps your business activities to relevant rules in real time.

Builds your firm's regulatory inventory with a quick-start diagnostic tool.

Aggregates your firm's obligations for a constant snapshot of your compliance requirements.

Imports existing policies, procedures, and manuals to create a single ecosystem for all of your obligations.

Helps you to track, manage, and resolve complaints and compliance issues as they arise.

Creates a centralized, keyword-searchable library of all regulatory obligations that apply to your firm--even those in PDF format.

Team

Brian Clark, CEO

Brian has a wide breadth of regulatory compliance experience including derivatives exchanges, market investigations, clearinghouse compliance, and registered brokerage businesses. He earned an undergraduate degree in Economics from the University of Illinois and a Juris Doctor degree from DePaul University, and is currently pursuing 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 earned an undergraduate degree in Finance from the University of Illinois in Finance and an MBA from the University of Chicago’s Booth School of Business.

Jon Aldrerman, CFO

Jon is the quintessential financial services hybrid, having worked in and managed teams in quantitatively-based financial services consulting, and worked directly with financial modeling and risk management at several firms. He earned an undergraduate dual degree in Finance and Actuarial Science from the University of Illinois, and is currently pursuing his MBA at the University of Chicago’s Booth School of Business.

Contact

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