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Waystone · 3 hours ago

Director - Compliance Solutions

Chicago, IL

Full-time

Hybrid

Mid, Senior Level

7+ years exp

Waystone leads the way in specialist services for the asset management industry, partnering with institutional investors and asset managers. The Director of Compliance Solutions will be a key contact for clients throughout their compliance process, managing SEC examinations and conducting compliance training sessions.

Financial Services

Responsibilities

Maintain Code of Ethics programs for clients

Conduct and assist with annual review obligations, including electronic communications surveillance

Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and 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

Some travel may be required (>25%)

Qualification

Compliance programsRegulatory filingsFinancial services experienceTrading strategies understandingAnalytical skillsMicrosoft OfficeEnglish communicationSelf-starter