Senior Associate - Compliance Solutions

About Waystone

Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years' experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion

Summary:

Reporting to the reporting to the Managing Director, the Senior Associate will be an integral part of the team's success.

Senior Associate will work closely with Waystone's Consultants to help administer each client's compliance program. These individuals will conduct regular reviews of the compliance programs, organise, and maintain code of ethics obligations, and help manage the documentation and filings for consultants. Ideal candidates will need to develop strong organizational skills as well as high attention to detail and will need to understand each client's business to assist in the administration of written regulatory programs.

Candidates seeking employment as an Associate must demonstrate strong organizational skills, high attention to detail, work effectively as member of a team, be able to learn quickly, and proactively interact with a diverse group of clients.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Maintain Code of Ethics programs for clients
• Assist consultants with annual review obligations, including electronic communications surveillance
• Assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
• Assist with the preparation of 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
• Some travel may be required (