Talent.com
Director - Compliance Solutions
Director - Compliance SolutionsWaystone • Chicago, IL, US
Director - Compliance Solutions

Director - Compliance Solutions

Waystone • Chicago, IL, US
[job_card.variable_days_ago]
[job_preview.job_type]
  • [job_card.full_time]
[job_card.job_description]

Job Description

Job Description

Salary :

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.

Summary : Directors are one of a clients' key contact throughout their compliance process. Associate 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.

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+ 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
    • [job_alerts.create_a_job]

    Director Compliance • Chicago, IL, US

    [internal_linking.similar_jobs]
    Global Director of Accounting Compliance

    Global Director of Accounting Compliance

    JLL • Chicago, Illinois, USA
    [job_card.full_time]
    JLL empowers you to shape a brighter way.Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services advisory and technology fo...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Manager, Global Collections Compliance

    Manager, Global Collections Compliance

    PayPal • Chicago, IL, US
    [job_card.full_time]
    Manager, Global Collections Compliance.The Manager, Global Collections Compliance ensures that collections and recoveries activities adhere to all applicable laws, regulations, and internal policie...[show_more]
    [last_updated.last_updated_30] • [promoted]
    Senior Director, Enterprise Risk Management (Flexible Hybrid in Chicago, IL)

    Senior Director, Enterprise Risk Management (Flexible Hybrid in Chicago, IL)

    Cedar Cares, Inc • Chicago, IL, United States
    [job_card.full_time]
    Location Overview • • With its prime location in the heart of downtown, the OPO Building provides easy access to major transportation hubs, including Union Station and multiple CTA lines, making it c...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Director of Compensation - Hybrid Chicago Loop Office

    Director of Compensation - Hybrid Chicago Loop Office

    U of C NORC • Chicago, IL, US
    [job_card.full_time]
    Join NORC as our new Director of Compensation! NORC at the University of Chicago is seeking a Director of Compensation to be responsible for developing, implementing, administering, and evaluating ...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Senior Director, Compliance and Privacy Official

    Senior Director, Compliance and Privacy Official

    Blue Cross Blue Shield Association • Chicago, IL, United States
    [job_card.full_time]
    The Compliance and Privacy Official is responsible for providing strategic direction and oversight for the organization's corporate compliance and privacy programs, ensuring alignment with evolving...[show_more]
    [last_updated.last_updated_30] • [promoted]
    US Group Tax Director — Lead Compliance & Growth

    US Group Tax Director — Lead Compliance & Growth

    Bending Spoons • Chicago, IL, United States
    [job_card.full_time]
    A prominent tech company is seeking a Group Tax Director for the US to manage taxation across jurisdictions, ensuring compliance and formulating growth strategies. The ideal candidate will have stro...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Senior Director, Enterprise Risk Management (Flexible Hybrid in Chicago, IL)

    Senior Director, Enterprise Risk Management (Flexible Hybrid in Chicago, IL)

    Cboe • Chicago, IL, United States
    [job_card.full_time]
    Building trusted markets — powered by our people.At Cboe Global Markets, we inspire our people to solve complex challenges together because what we do matters. We provide the financial infrastructur...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Director, Compliance & Training

    Director, Compliance & Training

    Chicago Public Schools • Chicago, IL, US
    [job_card.full_time]
    Director of Compliance and Training.Reporting directly to the Deputy Chief Title IX Officer, the Director of Compliance and Training is responsible for the development, implementation, and monitori...[show_more]
    [last_updated.last_updated_30] • [promoted]
    Enterprise Compliance Issue Leader

    Enterprise Compliance Issue Leader

    Enova International • Chicago, IL, United States
    [job_card.full_time]
    A leading financial technology company in Chicago seeks a Program Lead for Compliance Issue Management.In this role, you will enhance the enterprise compliance management program, ensuring robust g...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Director of IT, Security, Compliance

    Director of IT, Security, Compliance

    BigTime Software • Chicago, Illinois, USA
    [job_card.full_time]
    Director of IT Security & Compliance.No relocation or visa sponsorship available.BigTime Software is the leading SaaS platform built for professional services organizations helping firms plan m...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Director - Compliance

    Director - Compliance

    Bally's Corporation • Chicago, IL, United States
    [job_card.full_time]
    The Director of Compliance oversees all Compliance functions, including due diligence and broader casino regulatory responsibilities. Adherence to laws, regulations, and internal policies by develop...[show_more]
    [last_updated.last_updated_30] • [promoted]
    AI Compliance & Governance Director (Hybrid)

    AI Compliance & Governance Director (Hybrid)

    CNA • Chicago, IL, United States
    [job_card.full_time]
    A leading insurance company is seeking an AI Compliance Director in Chicago.This strategic role involves overseeing AI governance, monitoring regulatory frameworks, and conducting compliance-focuse...[show_more]
    [last_updated.last_updated_1_day] • [promoted]
    Director, Compensation

    Director, Compensation

    Argonaut Management Services, Inc • Chicago, IL, United States
    [job_card.full_time]
    Argo Group International Holdings, Inc.American National, US based specialty P&C companies, (together known as BP&C, Inc. Brookfield Wealth Solutions, Ltd.BWS"), a New York and Toronto-listed public...[show_more]
    [last_updated.last_updated_30] • [promoted]
    Compliance Manager - RIA

    Compliance Manager - RIA

    Larson Maddox • Chicago, IL, US
    [job_card.full_time]
    Our client, a Registered Investment Advisor (RIA) group is experiencing rapid growth, and looking for a Compliance Manager to join our team and support the group as they scale responsibly.The firm ...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Director & Senior Counsel, Complex Claims

    Director & Senior Counsel, Complex Claims

    Markel • Chicago, IL, United States
    [job_card.full_time]
    What part will you play? If you’re looking for a place where you can make a meaningful difference, you’ve found it.The work we do at Markel gives people the confidence to move forward and seize opp...[show_more]
    [last_updated.last_updated_1_day] • [promoted]
    Director, AI Compliance & Governance

    Director, AI Compliance & Governance

    CNA Insurance • Chicago, Illinois, United States
    [job_card.full_time]
    A leading insurance company in Chicago seeks an AI and IT Compliance Consulting Director to oversee AI governance and compliance initiatives. The role involves monitoring regulatory frameworks, cond...[show_more]
    [last_updated.last_updated_1_day] • [promoted]
    Hybrid : NA Director, Financial Crime & Compliance

    Hybrid : NA Director, Financial Crime & Compliance

    Aon • Chicago, IL, United States
    [job_card.full_time]
    A leading global firm is seeking a Director of Financial Crime in Chicago.This role focuses on managing financial crime risks, working closely with the Chief Counsel to ensure compliance across Nor...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]
    Senior Director of HSE Compliance

    Senior Director of HSE Compliance

    Depot Connect International • Chicago, IL, US
    [job_card.full_time]
    Depot Connect International (DCI).Tank / ISO Tank Container Services and Tank Trailer Parts industry.We're more than just a service provider. we're a unified team combining the expertise of i...[show_more]
    [last_updated.last_updated_variable_days] • [promoted]