Summary: Directors are one of a clients' key contact throughout their compliance process. Associate Directors are responsible for basic drafting tasks related to SEC and CFTC filings and compliance manuals. These individuals also conduct regular reviews of client compliance programs, often drafting SEC required annual reviews and conducting compliance training sessions. Directors manage SEC examinations and draft basic responses to examination findings together with the Executive teams.
ESSENTIAL DUTIES AND 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%)
REQUIREMENTS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education:
- An internationally recognized professional qualification.
Experience:
- 7+ years' experience working in financial services as a fund or broker deal accountant or legal or compliance professional
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Candidates must have excellent English language skills, excelling in both written and oral communication
- Experience with Microsoft Office including excellent Excel skills is desirable
- Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
- Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment
