Senior Associate - Compliance Solutions
About the role
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.
Ideal candidates will need to develop strong organizational skills as well as high attention to detail and will need to understand each client’s business to assist in the administration of written regulatory programs.
Candidates seeking employment as an Associate must demonstrate strong organizational skills, high attention to detail, work effectively as a member of a team, be able to learn quickly, and proactively interact with a diverse group of clients.
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
- 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