Related skills
finra distribution fundraising regulatory compliance📋 Description
- Oversee GWS Americas Cash/Non-Cash Compensation policy across fundraising, marketing & distribution.
- Provide risk-based compliance advice on fundraising, marketing and client engagement across the Americas.
- Execute periodic testing and monitoring to identify and remediate compliance risks.
- Review distribution partners and complete onboarding and due diligence checks.
- Support training on regulatory developments and cross-border compliance.
- Oversee FINRA Rule 3110 supervisory protocols and office inspections.
🎯 Requirements
- Approximately 2-6 years of compliance experience in asset manager, private wealth platform, financial institution, or regulator.
- Strong understanding of FINRA rules, specifically 3110 and 3220.
- Familiarity with alternative investment products and private fund distribution is a plus.
- Ability to design, implement, and maintain control frameworks and compliance monitoring programs.
- Excellent interpersonal and communication skills to advise senior stakeholders and collaborate across global teams.
- Bachelor’s degree or equivalent; relevant professional certifications desirable.
🎁 Benefits
- Base salary range: $80,000 – $130,000 USD.
- Discretionary bonus may apply.
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