Senior Associate - Compliance Solutions

Waystone Governance Ltd. • New York, NY

10d

About The Position

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.

Requirements

• 2-4 years’ experience working in financial services as an accountant, back-office professional, compliance department staff, paralegal, or high-level administrative associate
• Excellent English language skills, excelling in both written and oral communication
• Strong analytical skills are a must.
• 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 with Microsoft Office including excellent Excel skills is desirable

Responsibilities

• Maintain Code of Ethics programs for clients
• Assist consultants with annual review obligations, including electronic communications surveillance
• Assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
• Assist 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

What This Job Offers

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