Director - Compliance Solutions

Waystone • New York, NY

2d

About The Position

Directors are one of a clients' key contact throughout their compliance process. Associate Directors are responsible for basic drafting tasks related to SEC and CFTC filings and compliance manuals. These individuals also conduct regular reviews of client compliance programs, often drafting SEC required annual reviews and conducting compliance training sessions. Directors manage SEC examinations and draft basic responses to examination findings together with the Executive teams.

Requirements

• An internationally recognized professional qualification.
• 7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
• Excellent English language skills, excelling in both written and oral communication
• Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
• Self-starters with strong independent motivation and the ability to thrive in an independent work environment

Nice To Haves

• Experience or technical understanding of trading strategies and the financial markets is highly desirable
• Experience with Microsoft Office including excellent Excel skills is desirable

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

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed