Waystone
Associate Director – Compliance Solutions
Join Waystone as an Associate Director in Compliance Solutions. Waystone is a leading specialist services firm serving the asset management industry with over $2T in assets under management.
Essential Duties & Responsibilities
Draft SEC and CFTC filings and compliance manuals
Maintain Code of Ethics programs for clients
Conduct regular reviews of client compliance programs
Manage all client deliverables and adhoc requests
Assist in SEC examinations and draft basic responses
Assist and complete ERA, RIA and BD registrations
Draft FINRA filings and provide filings guidance to clients
Assist with FINRA inquiries by providing thoughtful responses
Prepare regulatory filings such as Form ADV, Section 13 Filings, Form PF, Form PQR, among others
Requirements Education
A degree in Business Administration, Finance, Accounting, Political Science, or equivalent.
Experience
3-5 years of experience in financial services as a fund or broker dealer accountant or legal or compliance professional, OR recent law grad with financial services or fintech experience or business undergraduate degree.
Business undergraduate degrees preferred but not required.
JD, CPA or CFA preferred but not required.
Experience or technical understanding of trading strategies and the financial markets is highly desirable.
Some travel (5-25%) during peak periods is required.
In return
A compensation package with a base salary between $120,000 – $150,000
401(k) match
25 days Holiday
Health Insurance (EE and family)
Discretionary yearly bonus
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Essential Duties & Responsibilities
Draft SEC and CFTC filings and compliance manuals
Maintain Code of Ethics programs for clients
Conduct regular reviews of client compliance programs
Manage all client deliverables and adhoc requests
Assist in SEC examinations and draft basic responses
Assist and complete ERA, RIA and BD registrations
Draft FINRA filings and provide filings guidance to clients
Assist with FINRA inquiries by providing thoughtful responses
Prepare regulatory filings such as Form ADV, Section 13 Filings, Form PF, Form PQR, among others
Requirements Education
A degree in Business Administration, Finance, Accounting, Political Science, or equivalent.
Experience
3-5 years of experience in financial services as a fund or broker dealer accountant or legal or compliance professional, OR recent law grad with financial services or fintech experience or business undergraduate degree.
Business undergraduate degrees preferred but not required.
JD, CPA or CFA preferred but not required.
Experience or technical understanding of trading strategies and the financial markets is highly desirable.
Some travel (5-25%) during peak periods is required.
In return
A compensation package with a base salary between $120,000 – $150,000
401(k) match
25 days Holiday
Health Insurance (EE and family)
Discretionary yearly bonus
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