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About the role
Key responsibilities & impact- 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
Requirements
What you’ll need- 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
- An internationally recognized professional qualification.
Benefits
Comp & perks- Some travel may be required (<10%)
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory correspondenceregulatory filingsanti-money launderingdata analysisExcel
Soft Skills
written communicationoral communicationanalytical skillsattention to detailindependent motivation
Certifications
professional qualification