Waystone Compliance Solutions is expanding its Chicago team with qualified candidates.
The Compliance Associate will work closely with Titan’s Consultants to help administer each client’s compliance program. These individuals will conduct regular reviews of the compliance programs, organize and maintain code of ethics obligations, and help manage the documentation and filings for Consultants. Ideal candidates will need to develop strong organizational skills as well as high attention to detail and will need to understand each client’s business in order to assist in the administration of written regulatory programs.
Candidates seeking employment as a Compliance Associate must demonstrate strong organizational skills, high attention to detail, work effectively as member of a team, be able to learn quickly, and proactively interact with a diverse group of clients. This position has the potential to grow into a Consultant position.
Compliance Program Assistant Qualifications:
- 0-2 years’ experience working in financial services as an accountant, back office professional, compliance dept. staff, paralegal, or high-level administrative associate
- Candidates with less than 2 years of work experience must have a 3.2 GPA and a 4 year degree from a highly regarded university
- Candidates must have excellent English language skills, excelling in both written and oral communication with clients
- 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
- Titan employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment
- Assist clients with administration of compliance programs including Code of Ethics obligations
- Assist consultants with annual review obligations
- Assisting with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
- Preparing 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 (>10%)