Senior Associate – Compliance Solutions

Waystone

Senior Associate responsible for maintaining client compliance programs and assisting consultants at Waystone. Requires strong organizational skills and attention to detail in financial services.

Posted 5/23/2026full-timeNew York City • New York • 🇺🇸 United StatesSeniorWebsite

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

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory correspondencecompliance programsanti-money launderingdata analysisregulatory filingsForm ADVForm PFForm PQRelectronic communications surveillance

Soft Skills

written communicationoral communicationanalytical skillsattention to detailindependent motivationself-starter

Certifications

internationally recognized professional qualification