Compliance Analyst supporting the management of compliance models and processes at Tenpo. Contributing to building a solid compliance culture focusing on crime prevention and data protection.
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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