Associate Director, Compliance

Waystone leads the way in specialist services for the asset management industry.

Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide.

With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

Summary: 

Associate Directors are a client’s key contact throughout their compliance process.

Associate Directors need strong interpersonal skills and the ability to develop excellent client relationships through interactions with both junior and executive level client personnel.  These individuals must show an aptitude for understanding the financial markets, investment strategies and the business climate in which our clients operate.

Associate Directors must demonstrate strong organizational skills and work effectively as members of a team.  This position requires a particularly strong interest in working on a team and achieving team goals as opposed to individual goals. These individuals must be able to advance projects with minimal guidance or direction.   

Our environment is entrepreneurial and constantly changing.  Our employees all possess a strong entrepreneurial mindset, they are problem solvers, with strong work ethics who are determined to create a world class business one day at a time.

ESSENTIAL DUTIES AND 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

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:

A degree in Business Administration, Finance, Accounting, Political Science, or equivalent   

Experience:

• 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


• 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.


• Experience or technical understanding of trading strategies and the financial markets is highly desirable


• Some travel (5-25%) during peak periods is required.