Compliance Associate

ABOUT THE ROLE

YieldStreet is looking for a Compliance Associate to work with and report to the Regulatory and Compliance Counsel.  In this role you will assist with the oversight of an SEC registered investment adviser, with a related FINRA Broker-Dealer.  You will also have an opportunity to help develop, implement and drive effective and efficient Compliance processes, while partnering cross-functionally across Yieldstreet. In addition to providing support as it relates to the regulatory obligations of our business partners, you will continue to build compliance expertise through developing and delivering training and communications on compliance policies and procedures.

The ideal candidate will have a strong work ethic, good judgment, critical thinking skills, and the ability to communicate effectively.  

WHAT YOU’LL DO 

• Review and approve marketing collateral and communications with the public to ensure all marketing materials are in compliance with SEC’s Marketing Rule.
• Assist with implementing and monitoring adherence with the firm’s Code of Ethics and related procedures.  
• Manage quarterly and annual certification processes for access persons and registered personnel.  Track and monitor outside business activities, securities accounts, restricted trading list, gifts and entertainment, and political contribution pre-clearance requests.  
• Assist with managing the firm’s regulatory filing obligations, including the annual ADV update, Form PF, and Form D filings.
• Assist the broker-dealer personnel in managing the licensing process, including the Broker-Dealer’s Firm Gateway and CRD filings (e.g. Form U4s, Form U5s, Form BD, Form BR, and State Registrations.)
• Help develop and deliver training and communications on compliance policies and procedures.
• Assist in maintaining all required books, records, manuals and correspondence, and managing any regulatory inquiries and exams.
• Assist Legal Team with certain document preparation and file maintenance. Other duties as needed.

WHAT YOU HAVE 

• 4-6 years experience as a compliance professional at a registered investment adviser to private funds and/or registered funds or a FINRA registered broker-dealer is required.
• Familiarity with both the Advisers Act and with FINRA rules and regulations and the Investment Company Act are preferred.
• Broker-dealer or 40 Act experience is preferred.
• Series 7 and Series 24 Licenses a plus, or willingness to obtain licenses 
• Experience reviewing marketing collateral for compliance with the Marketing Rule of the Advisers Act.
• Experience with regulatory exams or responding to regulatory inquiries a plus.
• Familiarity with Bank Secrecy Act and anti-money laundering obligations a plus.
• Comfort with ambiguity - capable of solving complex problems independently in a fast-paced environment.
• ACA ComplianceAlpha experience a plus.
• Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally.
• Excellent writer and communicator.
• Excellent project management and organization skills.
• Willingness to commute into the Manhattan office three days a week

About Yieldstreet

Yieldstreet is the leading private market investment platform. We believe that private market alternatives should be a fundamental part of your portfolio. That’s why we’re unlocking access to make it easier than ever to get started. We partner with top-tier investment managers to provide investors with a wide range of opportunities across real estate, venture capital, private equity, art, short term notes and more. All of our offerings are curated and vetted by our team to help investors diversify away from the stock market with confidence. 
 
Why Yieldstreet?

Join a team of diverse, smart, and friendly people from 8 different countries who speak a total of 17 different languages who are on a mission to make alternative investments a fundamental part of the modern portfolio. Our team is comprised of successful entrepreneurs with combined exits of over $1B. We get social with each other during happy hours, exercise classes and team off sites! We are a hybrid work company giving you the opportunity to connect with your peers in real time with the flexibility to work remotely a few days per week. 

Compensation:

• HIRING SALARY RANGE: $90,000+ (Actual salary to be determined by the education, experience, knowledge, skills, and abilities of the applicant, internal equity, and alignment with market data.) Compensation package also includes generous, bonus, benefits and equity.

PLEASE NOTE - ALL CANDIDATE COMMUNICATIONS WILL COME VIA LINKEDIN OR THE YIELDSTREET.COM DOMAIN.  ALL CANDIDATES THAT ARE SELECTED FOR THE INTERVIEW PROCESS WILL HEAR FROM LIVE HUMAN BEINGS.  IF YOU HEAR FROM ANYONE WITH AN ALTERNATIVE DOMAIN (e.g. YieldstreetCareers.com) OR RECEIVE AN OFFER  IN ANY MANNER OTHER THAN VIA PHONE, KINDLY REACH OUT TO US IMMEDIATELY.