What are the responsibilities and job description for the Senior Associate - Compliance Solutions position at Waystone?
About Waystone
Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion
Summary: Reporting to the 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 (<10%)
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.
Experience:
- 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
Education:
- An internationally recognized professional qualification.