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%)

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
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

Director – Compliance Solutions

Key skills