Senior Associate - Compliance

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: Reporting to the Associate Director of Compliance, the Senior Associate will be an integral part of the team’s success.

ESSENTIAL DUTIES AND RESPONSIBILITIES

· Assist the oversight and management of compliance related aspects of the MiFID Firm this will include both review and gap analysis of authorisations and internal policies.

· Play a key role to design and manage the ongoing maintenance of all compliance related policy and procedure manuals

· Oversee the management of breaches, incidents and errors and liaise with external parties and manage internal escalations as necessary.

· Review and approval of Fund Literature to ensure it complies with product governance obligations.

· Help plan, design and deliver compliance training within the business

· Advise the business on complex compliance and regulatory matters

· Play a key role in the management and accuracy of all compliance registers

· Play a key role to plan, design and manage all compliance reviews and monitoring activities, including compliance testing

· Assist drafting compliance reporting to senior management teams and boards of directors

· Secure the accurate and timely submission of regulatory filings and/or reports on behalf of the business to external competent authorities

· Assist internal stakeholders and clients on all compliance and regulatory requirements

· Become a subject matter expert within the business on specific-on-specific compliance and regulatory requirements or topics

· Keep abreast of regulatory developments impacting the business; drive and manage implementation of these within the business

· Represent the compliance function on external and internal working groups and committees

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.

Experience:

· A minimum of 1-3 years experience in a financial services compliance context, preferably MiFID, NFA licenced, distribution or Investment Management oversight

· Understanding of regulatory requirements impacting MiFID firms.

· Experience with projects / compliance and monitoring programs

· Experience in a Investment Management or trading environment desired but not essential

Education:

· University degree – Finance /Law/Governance or similar

· Compliance qualification (e.g. ACOI) and/or a willingness to gain such qualification