Senior Associate - Compliance Solutions

ESSENTIAL DUTIES AND 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
• Some travel may be required (<10%)

REQUIREMENTS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 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

Education:

• An internationally recognized professional qualification.