Waystone

Director – Compliance Solutions

Waystone

full-time

Posted on:

Location Type: Hybrid

Location: Chicago • Illinois • 🇺🇸 United States

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Job Level

Lead

About the role

  • 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

  • 7+ years’ experience working in financial services as a fund or broker dealer accountant or legal or compliance professional
  • Experience or technical understanding of trading strategies and the financial markets is highly desirable
  • 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.
  • Ability to analyze and interpret basic data with a keen eye for detail
  • Strong independent motivation and the ability to thrive in an independent work environment.
Benefits
  • Health insurance
  • Flexible work arrangements

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory correspondenceForm ADVSection 13 filingsForm PFForm PQRcompliance programsanti-money launderingtrading strategiesfinancial marketsdata analysis
Soft skills
written communicationoral communicationanalytical skillsattention to detailindependent motivationability to thrive independently