Senior Associate

4 weeks ago


Chicago, Illinois, United States Waystone Governance Ltd. Full time
Job Overview

Waystone Governance Ltd. is seeking a highly skilled and detail-oriented Senior Associate to join our team. As a key member of our compliance program, you will play a crucial role in ensuring the smooth operation of our clients' regulatory programs.

Key Responsibilities
  • Maintain and administer Code of Ethics programs for clients
  • Assist consultants with annual review obligations, including electronic communications surveillance
  • Prepare regulatory correspondence, including SEC, CFTC, and SRO examinations and inquiries
  • Prepare regulatory filings, such as Form ADV, Section 13 filings, Form PF, and Form PQR
  • Conduct regular reviews of compliance programs, including anti-money laundering
  • Some travel may be required (greater than 10%)
Requirements

To succeed in this role, you will need:

  • An internationally recognized professional qualification
  • 2-4 years' experience working in financial services as an accountant, back-office professional, compliance department staff, paralegal, or high-level administrative associate
  • Excellent English language skills, with strong written and oral communication abilities
  • Experience with Microsoft Office, including Excel, is desirable
  • Strong analytical skills, with the ability to analyze and interpret basic data with a keen eye for detail
  • Self-motivation and the ability to thrive in an independent work environment

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