Director - Compliance Solutions

About the role

Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion.

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

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

• 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