Director - Compliance Solutions

Waystone is a leading provider of specialist services for the asset management industry. Directors are key contacts for clients throughout their compliance process, responsible for drafting tasks, conducting reviews, and managing SEC examinations.

Requirements

• Maintain Code of Ethics programs for clients
• Conduct and assist with annual review obligations
• Conduct and assist with the preparation of regulatory correspondence
• 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