Associate Director, Compliance

1 week ago

Chicago, United States Waystone Governance Ltd. Full time

All Waystone employees are expected to demonstrate our core competencies as outlined below. The role of Associate Director has unique requirements and duties; however, these responsibilities are to be executed within the organization's framework of core values. Waystone expects all employees to be high performing, self-motivated, learners and leaders.

Summary:

Associate Directors are a client's key contact throughout their compliance process.

Associate Directors need strong interpersonal skills and the ability to develop excellent client relationships through interactions with both junior and executive level client personnel. These individuals must show an aptitude for understanding the financial markets, investment strategies and the business climate in which our clients operate.

Associate Directors must demonstrate strong organizational skills and work effectively as members of a team. This position requires a particularly strong interest in working on a team and achieving team goals as opposed to individual goals. These individuals must be able to advance projects with minimal guidance or direction.

Our environment is entrepreneurial and constantly changing. Our employees all possess a strong entrepreneurial mindset, they are problem solvers, with strong work ethics who are determined to create a world class business one day at a time.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Draft SEC and CFTC filings and compliance manuals
  • Maintain Code of Ethics programs for clients
  • Conduct regular reviews of client compliance programs
  • Manage all client deliverables and adhoc requests
  • Assist in SEC examinations and draft basic responses
  • Assist and complete ERA, RIA and BD registrations
  • Draft FINRA filings and provide filings guidance to clients
  • Assist with FINRA inquiries by providing thoughtful responses
  • Prepare regulatory filings such as Form ADV, Section 13 Filings, Form PF, Form PQR, among others
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:

A degree in Business Administration, Finance, Accounting, Political Science, or equivalent

Experience:
  • 3-5 years' experience working in financial services as a fund or broker dealer accountant or legal or compliance professional OR
  • Recent law grad with financial services or fintech experience or business undergraduate degree
  • Business undergraduate degrees preferred but not required
  • JD, CPA or CFA preferred but not required
  • Attorneys must have business undergraduate degrees or financial services experience to qualify.
  • Experience or technical understanding of trading strategies and the financial markets is highly desirable
  • Some travel (5-25%) during peak periods is required.

  • Director of Ethics and Compliance

    1 week ago

    Chicago, United States Larson Maddox Full time

    About the Role: We've currently partnered with a global electrical and networking solutions company who is looking to bring on a Director of Ethics and Compliance. This position allows for growth, development, and visability while reporting directly into the CCO at a global firm. Responsibilities: Lead the refinement of protocols within the Ethics and...

  • Director of Ethics and Compliance

    2 days ago

    Chicago, United States Larson Maddox Full time

    About the Role: We've currently partnered with a global electrical and networking solutions company who is looking to bring on a Director of Ethics and Compliance. This position allows for growth, development, and visability while reporting directly into the CCO at a global firm. Responsibilities: Lead the refinement of protocols within the Ethics and...

  • Regulatory and Compliance Legal Associate

    1 week ago

    Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...

  • Regulatory and Compliance Legal Associate

    Found in: Appcast US C2 - 1 week ago

    Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...

  • Regulatory and Compliance Legal Associate

    Found in: Appcast Linkedin GBL C2 - 1 week ago

    Chicago, United States Robert Half Full time

    Compliance and Regulatory Legal Associate needed for a growing private equity company that manages over $30B in capital. The company has experienced unprecedented growth and is expanding its compliance program.The Compliance and Regulatory Legal Associate will work closely with the legal and compliance team and have responsibility for:Supporting Chief Legal...

  • Director of Ethics and Compliance

    7 days ago

    Chicago, United States Larson Maddox Full time

    About the Role: We've currently partnered with a global electrical and networking solutions company who is looking to bring on a Director of Ethics and Compliance. This position allows for growth, development, and visability while reporting directly into the CCO at a global firm. Responsibilities: Lead the refinement of protocols within the Ethics and...

  • Director - Compliance Solutions

    3 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, Legal, Trade Compliance

    1 week ago

    Chicago, United States United Airlines Full time

    Include: The Trade Compliance Director will develop, implement and manage the Company's trade compliance program, including compliance with the regulations administered and enforced by (i) the US Commerce Department's Bureau of Industry & Security (B Trade, Director, Legal, Compliance Officer, International, Compliance, Business Services, Airline

  • Director - Compliance Solutions

    21 hours 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 of Compliance

    Found in: Appcast US C2 - 3 days ago

    Chicago, United States Coinflow Labs Full time

    Coinflow, a Chicago-based fintech startup, is poised to disrupt the payment solutions industry by accelerating money movement. Our work environment is straightforward: you're here to grow your career and solve tough challenges at scale. We value collaboration and give you the support and autonomy you need to succeed. Our team is all about getting innovative,...

  • Director of Compliance

    4 days ago

    Chicago, United States Coinflow Labs Full time

    Coinflow, a Chicago-based fintech startup, is poised to disrupt the payment solutions industry by accelerating money movement. Our work environment is straightforward: you're here to grow your career and solve tough challenges at scale. We value collaboration and give you the support and autonomy you need to succeed. Our team is all about getting innovative,...

  • Director of Compliance

    Found in: Appcast Linkedin GBL C2 - 4 days ago

    Chicago, United States Coinflow Labs Full time

    Coinflow, a Chicago-based fintech startup, is poised to disrupt the payment solutions industry by accelerating money movement. Our work environment is straightforward: you're here to grow your career and solve tough challenges at scale. We value collaboration and give you the support and autonomy you need to succeed. Our team is all about getting innovative,...

  • Compliance Associate

    1 week ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Associate

    5 days ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Associate

    2 weeks ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Compliance Associate

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    Chicago, United States Larson Maddox Full time

    Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and management services to high-net-worth individuals and institutional clients. They are seeking a Compliance Associate to join the team and work alongside the Compliance Manager, Chief Compliance Officer & General Counsel, and Chief Operating...

  • Executive Director

    21 hours 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 Third Party Compliance

    Found in: Resume Library US A2 - 1 week ago

    Chicago, Illinois, United States McDonald's Corporation Full time

    Job Description The Director of Third-Party Compliance (“Director”) will lead global efforts to address cybersecurity and technology-related risks across our third-party partners. The role will develop a compliance program for driving and validating the effective remediation of third-party vulnerabilities and security objectives. This includes...

  • Director Third Party Compliance

    Found in: beBee jobs US - 2 weeks ago

    Chicago, Illinois, United States McDonald's Global Technology Full time

    Job DescriptionCompany Description:McDonald's new growth strategy, Accelerating the Arches, encompasses all aspects of our business as the leading global omni-channel restaurant brand. As the consumer landscape shifts we are using our competitive advantages to further strengthen our brand. One of our core growth strategies is to Double Down on the 3Ds...

  • Compliance Specialist

    7 days ago

    Chicago, United States Lawndale Christian Health Center Full time

    **Position Summary** This position is responsible for ensuring overall CMS and HFS regulatory compliance while developing, implementing, organizing, and monitoring the Compliance Plan and the Quality Assurance and Performance Improvement Plan (QAPI) for LCHC PACE. This position will coordinate visible, transparent communication with the PACE Medical...