Senior Associate - Compliance Solutions

About Waystone

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, Waystone helps its clients structure, operate, and grow through its expertise, innovation, and digitization, backed by the operational scale to support global expansion.

Senior Associate

Summary: Reporting to the Managing Director, the Senior Associate will be an integral part of the team's success. The Senior Associate will work closely with Waystone's Consultants to help administer each client's compliance program. These individuals will conduct regular reviews of the compliance programs, organize, and maintain code of ethics obligations, and help manage the documentation and filings for consultants.

Essential Duties And Responsibilities

• Maintain Code of Ethics programs for clients
• Aid consultants with annual review obligations, including electronic communications surveillance
• Aid with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
• Aid with the preparation of 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.
• Experience: 2-4 years' experience working in financial services as an accountant, back-office professional, compliance department staff, paralegal, or high-level administrative associate
• 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

Education

An internationally recognized professional qualification.