Waystone
Director - Compliance Solutions
– Waystone
Waystone leads the way in specialist services for the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years’ experience and a comprehensive range of specialist services, Waystone serves assets under management in excess of $2 trillion.
As a Director, you will be a key client contact throughout their compliance process. Associate Directors handle basic drafting tasks related to SEC and CFTC filings and compliance manuals; you will lead similar activities and conduct regular reviews of client compliance programs. Directors manage SEC examinations and draft basic responses to findings with executive teams.
Essential Duties & Responsibilities
Maintain Code of Ethics programs for clients
Conduct and assist with annual review obligations, including electronic communications surveillance
Prepare regulatory correspondence for SEC, CFTC, and Self-Regulatory Organization (SRO) examinations and inquiries
Complete and assist in registration projects for RIA, ERA, and BD clients
Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Travel as required (estimated Requirements To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations can be made.
Education
An internationally recognized professional qualification
Experience
7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
Experience or technical understanding of trading strategies and the financial markets is highly desirable
Excellent English language skills, both written and oral
Experience with Microsoft Office, including excellent Excel skills is desirable
Strong analytical skills, with the ability to analyze and interpret basic data with a keen eye for detail
Self-starters with strong independent motivation and the ability to thrive in an independent work environment
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– Waystone
Waystone leads the way in specialist services for the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years’ experience and a comprehensive range of specialist services, Waystone serves assets under management in excess of $2 trillion.
As a Director, you will be a key client contact throughout their compliance process. Associate Directors handle basic drafting tasks related to SEC and CFTC filings and compliance manuals; you will lead similar activities and conduct regular reviews of client compliance programs. Directors manage SEC examinations and draft basic responses to findings with executive teams.
Essential Duties & Responsibilities
Maintain Code of Ethics programs for clients
Conduct and assist with annual review obligations, including electronic communications surveillance
Prepare regulatory correspondence for SEC, CFTC, and Self-Regulatory Organization (SRO) examinations and inquiries
Complete and assist in registration projects for RIA, ERA, and BD clients
Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Travel as required (estimated Requirements To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations can be made.
Education
An internationally recognized professional qualification
Experience
7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
Experience or technical understanding of trading strategies and the financial markets is highly desirable
Excellent English language skills, both written and oral
Experience with Microsoft Office, including excellent Excel skills is desirable
Strong analytical skills, with the ability to analyze and interpret basic data with a keen eye for detail
Self-starters with strong independent motivation and the ability to thrive in an independent work environment
#J-18808-Ljbffr