Regulatory & Compliance - Associate (Fintech)
Мэтч & Сопровод
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Описание вакансии
TL;DR
Regulatory & Compliance - Associate (Fintech): Preparing and managing U.S. and international regulatory filings with an accent on data quality, compliance procedures, and regulatory analysis. Focus on interpreting evolving federal, state, and non-U.S. requirements, improving reporting scalability, and coordinating complex deadlines with senior stakeholders.
Location: Salt Lake City, Utah, United States; hybrid schedule with office work Monday–Thursday and remote work on Friday.
Salary: $70,000–$95,000 base salary, plus equity and an annual performance bonus.
Company
provides technology and investment solutions focused on alternative investments and wealth management.
What you will do
- Collect, aggregate, and validate data for U.S. and international regulatory filings, including Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, Regulation D, and blue-sky filings.
- Develop, update, and implement procedures that support accurate and robust regulatory reporting.
- Monitor industry compliance initiatives and federal, state, and international regulatory developments.
- Assess regulatory and operational changes, communicate material impacts to senior management, and support compliance decisions.
- Collaborate with internal and external stakeholders to improve data quality, operational readiness, scalability, and efficiency.
- Support ad hoc compliance matters and manage multiple deadlines and projects.
Requirements
- 2–5 years of registered investment adviser experience, preferably involving regulatory filings.
- Experience with alternative investments and compliance restrictions related to private placements and private-fund SEC filings.
- Ability to lead discussions and initiatives with senior internal and external stakeholders.
- Strong organization, attention to detail, interpersonal skills, and leadership capabilities.
- Proficiency in Microsoft Excel and Microsoft Word, with the ability to quickly learn additional technologies.
Culture & Benefits
- Hybrid work model with four office days and one remote day per week.
- Equity eligibility for all full-time employees and an annual performance bonus.
- Employer-matched retirement plan.
- Subsidized healthcare, with employer-paid dental, vision, telemedicine, and virtual mental health counseling.
- Parental leave and unlimited paid time off.
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