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Full-time
professional certificate
Posted 45d ago
~40 hrs/week
Responsibilities
The Director manages compliance processes for clients, including drafting SEC and CFTC filings and conducting annual program reviews. They are also responsible for managing SEC examinations and maintaining Code of Ethics programs.
Requirements
Candidates need over 7 years of experience in financial services as a compliance, legal, or accounting professional. An internationally recognized professional qualification and strong analytical skills are required.
Full job description
About Waystone
Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion
Summary: 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.
ESSENTIAL DUTIES AND 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
Some travel may be required (>25%)
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.
Education:
An internationally recognized professional qualification.
Experience:
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
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
Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion.
Offices: 35 Shelbourne Road, 4th Floor, Ballsbridge, Dublin, D04 A4E0, IE · Suite 101 & 102, SIX Cricket Square, Cayman Islands, Grand Cayman KY1-1103, KY · 23rd floor, 461 Fifth Avenue, Suite 1050, New York, New York NY 10017, US · UNIT 1702 Euro Trade Centre, Connaught Road, Central, Hong Kong, HK · 6 Battery Road, #17-06, Singapore, Singapore 049909, SG
How much do Management & Leadership jobs in Chicago, IL pay?
Based on 6581 listings with disclosed salaries, most management & leadership jobs in Chicago, IL pay between $66k–$180k per year. Individual offers vary with seniority, company size, and specialization.
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