Associate Director - Compliance Solutions

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.

• 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

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.

• 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