Executive Director

For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support and protect investment structures and strategies worldwide.

Our success depends upon our ability to attract and retain the best, most diverse talent and provide our employees with a broad spectrum of professional development opportunities. Our workplace environment is an inclusive one, where employees can be themselves, reach their full potential and drive business results.

Waystone are seeking an Executive Director for our Chicago, New York or San Francisco Office. We are seeking an experienced individual with strong interpersonal skills offering and the ability to develop excellent client relationships through interactions with both junior and executive level client personnel. 

Executive Directors are a client’s key contact throughout their compliance process. They need  These individuals must show an aptitude for understanding the financial markets and the business climate in which our clients operate. They must demonstrate strong organizational skills and work effectively as member of a team.  This position requires a particularly strong interest in working on a team and achieving team goals as opposed to individual goals. 

Our environment is entrepreneurial and constantly changing.  Our employees all possess a strong entrepreneurial mindset, they are problem solvers, with strong work ethics who are determined to create a world class business one day at a time.

Key Duties and Responsibilities:

• • • Draft SEC and CFTC filings and compliance manuals
    • Conduct regular reviews of client compliance programs
    • Manage all client deliverables and adhoc requests
    • Manage in SEC examinations and draft basic responses
    • Manage and complete ERA, RIA and BD registrations

Requirements

Must be in Chicago, New York or San Francisco.

Education:

A degree in Business Administration, Finance, Political Science, or equivalent

Experience:

• 6-8 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
• Attorneys must have business undergraduate degrees or financial services experience to qualify.

• Experience or technical understanding of trading strategies and the financial markets is highly desirable
• Some travel (5-25%) during peak periods is required

What we can offer you:

We offer all our employees a competitive remuneration salary. Our benefits package includes healthcare and pension, life assurance, education scheme and staff referral scheme.