Associate, Compliance

Yieldstreet•New York, NY

17h•$90,000 - $120,000•Onsite

About The Position

Willow Wealth is looking for a Compliance Associate to work with and report to the Chief Compliance Officer. In this role, you will assist with the oversight of an SEC-registered investment adviser, with a related FINRA Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance processes, while partnering cross-functionally across Willow Wealth. In addition to providing support as it relates to the regulatory obligations of our business partners, you will continue to build compliance expertise by developing and delivering training and communications on compliance policies and procedures. The ideal candidate will have a strong work ethic, good judgment, critical thinking skills, and the ability to communicate effectively.

Requirements

4-6 years experience as a compliance professional at a registered investment adviser to private funds and/or registered funds or a FINRA registered broker-dealer
Experience reviewing marketing collateral for compliance with the Marketing Rule of the Advisers Act
Comfortable with ambiguity and capable of solving complex problems independently in a fast-paced environment
Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally
Excellent writing, communication, project management, and organizational skills

Nice To Haves

Familiarity with both the Advisers Act and with FINRA rules and regulations and the Investment Company Act
Series 7 and Series 24 Licenses (or a willingness to obtain licenses)
Experience with regulatory exams or responding to regulatory inquiries
Familiarity with Bank Secrecy Act and anti-money laundering obligations
ACA ComplianceAlpha experience

Responsibilities

Review and approve marketing collateral and communications with the public to ensure all marketing materials are in compliance with SEC’s Marketing Rule and FINRA Rule 2210
Assist with implementing and monitoring adherence to the firm’s Code of Ethics and related procedures
Manage quarterly and annual certification processes for access persons and registered personnel
Track and monitor outside business activities, securities accounts, restricted trading list, gifts and entertainment, and political contribution pre-clearance requests
Assist with managing the firm’s regulatory filing obligations, including the annual ADV update, Form PF, and Form D filings
Assist the broker-dealer personnel in managing the licensing process, including the Broker-Dealer’s Firm Gateway and CRD filings (e.g. Form U4s, Form U5s, Form BD, and Form BR)
Help develop and deliver training and communications on compliance policies and procedures
Assist in maintaining all required books, records, manuals and correspondence, and managing any regulatory inquiries and exams