Associate Director – Compliance Solutions
Waystone
full-time
Posted on:
Location Type: Hybrid
Location: Chicago • Illinois • 🇺🇸 United States
Visit company websiteSalary
💰 $120,000 - $150,000 per year
Job Level
Senior
About the role
- Draft SEC and CFTC filings and compliance manuals
- Maintain Code of Ethics programs for clients
- Conduct regular reviews of client compliance programs
- Manage all client deliverables and adhoc requests
- Assist in SEC examinations and draft basic responses
- Assist and complete ERA, RIA and BD registrations
- Draft FINRA filings and provide filings guidance to clients
- Assist with FINRA inquiries by providing thoughtful responses
- Prepare regulatory filings such as Form ADV, Section 13 Filings, Form PF, Form PQR, among others
Requirements
- A degree in Business Administration, Finance, Accounting, Political Science, or equivalent
- 3-5 years’ experience working in financial services as a fund or broker dealer accountant or legal or compliance professional OR Recent law grad with financial services or fintech experience or business undergraduate degree
- Business undergraduate degrees preferred but not required
- JD, CPA or CFA preferred but not required
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Some travel (5-25%) during peak periods is required.
Benefits
- 401(k) match
- 25 days Holiday
- Health Insurance (EE and family)
- Discretionary yearly bonus
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
SEC filingsCFTC filingscompliance manualsCode of Ethics programsclient compliance programsFINRA filingsForm ADVForm PFForm PQRtrading strategies
Soft skills
communicationorganizationalattention to detailproblem-solvingclient management
Certifications
JDCPACFA