Waystone · 2 hours ago
Associate Director - Compliance Solutions
Chicago, IL
Full-time
Hybrid
Mid, Senior Level, Lead/Staff
$120K/yr - $150K/yr
3+ years expWaystone is a leading provider of specialist services for the asset management industry, partnering with institutional investors and asset managers. The Associate Director will act as a key contact for clients throughout their compliance process, requiring strong interpersonal skills and a solid understanding of financial markets and investment strategies.
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
Required
A degree in Business Administration, Finance, Accounting, Political Science, or equivalent
3-5 years' experience working 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
Experience or technical understanding of trading strategies and the financial markets is highly desirable
Some travel (5-25%) during peak periods is required
Preferred
Business undergraduate degrees preferred but not required
JD, CPA or CFA preferred but not required
Attorneys must have business undergraduate degrees or financial services experience to qualify
Benefits
401(k) match
25 days Holiday
Health Insurance (EE and family)
Discretionary yearly bonus
Company
Waystone
Waystone is a provider of institutional governance, risk and compliance services to the asset management industry.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2021-07-01Acquired
Leadership Team
Liliana Solomon
Group Chief Financial Officer
Andy Lamont
Chief Risk Officer
Recent News
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