Director - Compliance Solutions

3 weeks ago

Chicago, United States Waystone Governance Ltd. Full time
Job DescriptionJob DescriptionSalary:

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.


Directors are one of a clients' key contact throughout their compliance process. Directors are responsible for basic drafting tasks related to SEC and CFTC filings and compliance manuals. These individuals also conduct regular reviews of client compliance programs, often drafting SEC required annual reviews and conducting compliance training sessions. Directors manage SEC examinations and draft basic responses to examination findings together with the Executive teams.


Candidates seeking employment as a Director 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

· Conduct and assist with annual review obligations, including electronic communications surveillance

· Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries

· Complete and assist in registration projects for RIA, ERA, and BD clients

· Prepare 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 (>25%)


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.


Education:

· An internationally recognized professional qualification.


Experience:

· 7-10 years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional

· Experience or technical understanding of trading strategies and the financial markets is highly desirable

· 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

  • Director - Compliance Solutions

    2 months ago

    Chicago, United States Waystone Governance Ltd. Full time

    For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry - partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide._ - Our success depends upon our ability to attract and...

  • Director - Compliance Solutions

    19 hours ago

    Chicago, United States Waystone Governance Ltd. Full time

    For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry - partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide._ - Our success depends upon our ability to attract and...

  • Director - Compliance Solutions

    2 months ago

    Chicago, United States Waystone Governance Ltd. Full time

    Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...

  • Director - Compliance Solutions

    2 months ago

    Chicago, United States Waystone Governance Ltd. Full time

    Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...

  • Director, Compliance

    1 week ago

    Chicago, United States Aspen Dental Full time

    The Aspen Group (TAG) is one of the largest and most trusted retail healthcare business support organizations in the U.S. and has supported over 16,000 healthcare professionals and team members at more than 1,200 health and wellness offices across 48 states in three distinct categories: Dental care, urgent care, and medical aesthetics. Working in partnership...

  • Director of Compliance

    2 weeks ago

    Chicago, United States LaSalle Network Full time

    LaSalle Network has partnered with a leading national dental practice group to hire a Director of Compliance. Headquartered in downtown Chicago, our client is growing rapidly. Run by experienced and ambitious leaders, they are known for their work in underserved communities. This role will focus on regulatory compliance, OSHA claims investigations and...

  • Director of Compliance

    1 week ago

    Chicago, United States LaSalle Network Full time

    LaSalle Network has partnered with a leading national dental practice group to hire a Director of Compliance. Headquartered in downtown Chicago, our client is growing rapidly. Run by experienced and ambitious leaders, they are known for their work in underserved communities. This role will focus on regulatory compliance, OSHA claims investigations and...

  • Director of Compliance Solutions Sales

    3 days ago

    Chicago, United States Learning Pool Full time

    Job DescriptionJob DescriptionSalary: Director of Compliance Solutions Sales - North America (Remote)Wherever you find ambitious companies investing in their people, you’ll find Learning PoolLearning Pool is among the fastest growing workplace e-learning companies in the world, servicing more than 1200 customers and millions of learners globally. Our...

  • Director, Reliability Compliance

    1 month ago

    Chicago, United States Invenergy Full time

    Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy. Job...

  • Director, Reliability Compliance

    4 weeks ago

    Chicago, United States Invenergy Full time

    Invenergy drives innovation in energy. Powered by decades of entrepreneurial experience and unparalleled execution, we solve the energy challenges facing our customers and communities. We provide power generation and storage solutions at scale around the world to create a cleaner energy future. We develop. We build. We own. We operate. We are Invenergy. Job...

  • Senior Product Marketing Manager, Direct Sales Channel at Harbor Compliance

    2 weeks ago

    Chicago, United States Harbor Compliance Full time

    Elevate Your Career at Harbor Compliance! Location: Full-time Remote (Excluding CA, CO, MT, NY) Job Summary: Harbor Compliance is seeking a dynamic Senior Product Marketing Manager, Direct Sales Channel, to join our team. This role is pivotal in driving our company's growth by developing and executing innovative marketing strategies specifically tailored to...

  • Director of Compliance

    4 weeks ago

    Chicago, United States Hanover Full time

    The Director of Compliance will be a senior stakeholder of a $40 billion Asset Management firm headquartered in Chicago. My client is looking to bring a senior compliance leader into the firm as they continue to expand their business with a particular focus on private markets. The ideal candidate will have experience with Private Funds and/or UCITS at an...

  • Director of Compliance

    1 month ago

    Chicago, United States Hanover Full time

    The Director of Compliance will be a senior stakeholder of a $40 billion Asset Management firm headquartered in Chicago. My client is looking to bring a senior compliance leader into the firm as they continue to expand their business with a particular focus on private markets. The ideal candidate will have experience with Private Funds and/or UCITS at an...

  • Sr Director Solution Sales Security

    4 weeks ago

    Chicago, United States Connection Full time

    Job DescriptionJob DescriptionThe Sr. Director Solution Sales Security Practice (SSSP), works in a highly independent fashion with minimal supervision under the guidance of the Solution Sales Executive Leader / VP Centers of Excellence within the Solutions and Services Sales Organization (SSSO). The Sr. Director provides oversight for pre-sales teams under...

  • Sr Director Solution Sales Security

    1 month ago

    Chicago, United States Connection Full time

    Job DescriptionJob DescriptionThe Sr. Director Solution Sales Security Practice (SSSP), works in a highly independent fashion with minimal supervision under the guidance of the Solution Sales Executive Leader / VP Centers of Excellence within the Solutions and Services Sales Organization (SSSO). The Sr. Director provides oversight for pre-sales teams under...

  • Director of Compliance

    4 weeks ago

    Chicago, United States HealthCare Recruiters International Full time

    Growing Dental Service provider company looking for a Director of Compliance to be based out of our home office in Chicago. This position is not remote.You will be responsible for the management of the company's compliance program.We provide high-quality dentistry services to underserved communities. We currently own over 48 practices and we are continuing...

  • Director of Compliance

    4 weeks ago

    Chicago, United States HealthCare Recruiters International Full time

    Growing Dental Service provider company looking for a Director of Compliance to be based out of our home office in Chicago. This position is not remote.You will be responsible for the management of the company's compliance program.We provide high-quality dentistry services to underserved communities. We currently own over 48 practices and we are continuing...

  • Director of Compliance

    4 weeks ago

    Chicago, United States HealthCare Recruiters International Full time

    Growing Dental Service provider company looking for a Director of Compliance to be based out of our home office in Chicago. This position is not remote.You will be responsible for the management of the company's compliance program.We provide high-quality dentistry services to underserved communities. We currently own over 48 practices and we are continuing...

  • Director of Compliance

    1 week ago

    Chicago, Illinois, United States HealthCare Recruiters International Full time

    Exciting opportunity: Dental Service provider company seeking a Director of Compliance to join our team at the home office in Chicago. This role is office-based, not remote.About us: We deliver top-notch dentistry services to underserved communities, currently operating 48+ practices with plans for expansion.Your role:Manage the company's compliance program...

  • Director of Compliance

    4 weeks ago

    Chicago, United States HealthCare Recruiters International Full time

    Growing Dental Service provider company looking for a Director of Compliance to be based out of our home office in Chicago. This position is not remote.You will be responsible for the management of the company's compliance program.We provide high-quality dentistry services to underserved communities. We currently own over 48 practices and we are continuing...