Senior Compliance Solutions Analyst

Job Summary

Reporting to the Managing Director, the Senior Associate will be an integral part of the team’s success. The 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 organisational 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 organisational skills, high attention to detail, work effectively as a member of a team, be able to learn quickly, and proactively interact with a diverse group of clients.

• 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 (