Director - Compliance Solutions
waystone
Director - Compliance Solutions
waystone· Compliance Solutions - CD0201
About this role
About Waystone
Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion
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
Frequently Asked Questions
Is the salary disclosed for the Director - Compliance Solutions position at waystone?
The salary for this Director - Compliance Solutions role at waystone is not publicly listed. Click "Apply Now" to learn more about the compensation package on their official careers page.
Where is the Director - Compliance Solutions position at waystone located?
This Director - Compliance Solutions role at waystone is based in Hybrid, New York, New York, United States. The position is listed as on-site or hybrid. Check the full job description or apply directly to confirm the work arrangement.
Is the Director - Compliance Solutions role at waystone full-time or part-time?
This is listed as a Full Time position. It is posted as a Director - Compliance Solutions role in the Compliance Solutions - CD0201 department at waystone.
Which team or department does the Director - Compliance Solutions at waystone belong to?
This Director - Compliance Solutions position is part of the Compliance Solutions - CD0201 department at waystone. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Director - Compliance Solutions position at waystone?
Click the "Apply Now" button on this page. You will be redirected to waystone's official application portal hosted on bamboohr where you can submit your application directly.
When was the Director - Compliance Solutions job at waystone posted?
This Director - Compliance Solutions position at waystone was posted on Jun 24, 2026. Apply as soon as possible — early applications are often reviewed first.
Director - Compliance Solutions
waystone
You'll be redirected to waystone's official application page on bamboohr.