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Waystone · 22 hours ago

Associate Director - Compliance Solutions

Fair Lawn, NJ

Full-time

Onsite

Mid, Senior Level, Lead/Staff

$120K/yr - $150K/yr

3+ years exp

Waystone leads the way in specialist services for the asset management industry, serving assets under management in excess of $2Tn. The Associate Director will act as a key contact for clients throughout their compliance process, requiring strong interpersonal skills and the ability to manage client deliverables effectively.

Financial Services

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

Qualification

SEC filingsCFTC filingsCompliance programsFinancial services experienceJDCPACFAEntrepreneurial mindsetInterpersonal skillsOrganizational skillsTeamworkProblem solving