Director of Compliance, Capital Markets
OneWire Managed Services - New York, NY

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The firm is the leading online exchange for alternative investment funds and products, providing wealth management professionals with unmatched access and execution. As the firm expands its menu of alternative investment products, the firm is seeking a Director of Compliance to bring regulatory expertise to capital markets deals and structured products. The successful candidate will develop and oversee a compliance regime for a new Capital Markets business (experience with Alternative Investments and Structured Products compliance issues would be a bonus)
• Managing day-to-day compliance activities relating to marketing collateral, distribution activities and trading relationships
• Responsibility for interactions with FINRA (as well as other Regulators or SROs)
• Primary liaison with compliance vendors and the FinOps for the Broker-Dealer
• Oversight/implementation of firm’s compliance infrastructure (client communications, sales practices, system requirements, etc.
• Experience with international compliance issues is additive (but not required)