Senior Associate - Compliance Solutions

Waystone Senior Associate

Waystone leads the way in specialist services for the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years' experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

Reporting to the Managing Director, the Senior Associate will be an integral part of the team's success. Senior Associate will work closely with Waystone's Consultants to help administer each client's compliance program. These individuals will conduct regular reviews of the compliance programs, organise, and maintain code of ethics obligations, and help manage the documentation and filings for consultants. Ideal candidates will need to develop strong organizational skills as well as high attention to detail and will need to understand each client's business to assist in the administration of written regulatory programs.

Candidates seeking employment as an Associate must demonstrate strong organizational skills, high attention to detail, work effectively as member of a team, be able to learn quickly, and proactively interact with a diverse group of clients.

Essential Duties And Responsibilities

• 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
• Some travel may be required (

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.

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