Regulatory Affairs Specialist generating regulatory submissions and managing compliance for medical device engineering projects at Teleflex. Ensuring adherence to FDA and Health Canada regulations with effective project timelines.
About the role
- Associate Director managing compliance solutions at Waystone for the asset management industry. Overseeing client compliance processes and regulatory filings with a strong focus on teamwork.
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
- A degree in Business Administration, Finance, Accounting, Political Science, or equivalent
- 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
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Some travel (5-25%) during peak periods is required.
Benefits
- 401(k) match
- 25 days Holiday
- Health Insurance (EE and family)
- Discretionary yearly bonus
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