Associate Director - Compliance Solutions

Waystone leads the way in specialist services for the asset management industry. As an Associate Director - Compliance Solutions, you will be the key contact for clients throughout their compliance process, requiring strong interpersonal skills and the ability to develop excellent client relationships.

Requirements

• 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

Benefits

• 401(k) match
• 25 days Holiday
• Health Insurance (EE and family)
• Discretionary yearly bonus