Compliance Associate

YieldStreet, Inc.; New York (NY); Hybrid; USD 90,000 - 125,000; Full time

Job summary

YieldStreet, Inc. is seeking a Compliance Associate to oversee compliance processes for their SEC-registered investment adviser and related FINRA Broker-Dealer. The role involves developing compliance policies, managing regulatory filings, and delivering training to ensure adherence to regulations. Candidates should have significant compliance experience and strong communication skills.

Benefits

Competitive compensation including equity

Health, dental, and vision coverage with FSA/HSA options

Unlimited PTO

401k match

Paid weekly lunch

Commuter benefits

Life insurance

Sabbatical

Summer Fridays

Qualifications

• 4-6 years of compliance experience at a registered investment adviser or FINRA broker-dealer.
• Familiarity with Advisers Act, FINRA rules, and the Investment Company Act preferred.
• Series 7 and Series 24 licenses are advantageous or willingness to obtain them.

Responsibilities

• Review and approve marketing materials to ensure compliance with SEC regulations.
• Assist in implementing and monitoring adherence to the firm’s Code of Ethics.
• Manage certification processes and monitor outside activities.

Skills

Compliance experience

Excellent communication

Project management

Organizational skills

Job description

Join to apply for the Compliance Associate role at Yieldstreet.

About Yieldstreet
Yieldstreet is the leading private market investment platform. We believe that private market alternatives should be a fundamental part of your portfolio. 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 languages. Our team is comprised of successful entrepreneurs with combined exits of over $1B. We foster a social environment with happy hours, exercise classes, and team off-sites. We operate on a hybrid work model, with offices following a 3-day in-office schedule (Tues, Wed, Thurs).

About The Role
YieldStreet is seeking a Compliance Associate to work with and report to the Regulatory and Compliance Counsel. You will assist in overseeing an SEC-registered investment adviser and a related FINRA Broker-Dealer. Your role includes developing and implementing compliance processes, supporting regulatory obligations, and delivering training on compliance policies.

What You’ll Do

• Review and approve marketing materials to ensure compliance with SEC regulations.
• Assist in implementing and monitoring adherence to the firm’s Code of Ethics.
• Manage certification processes, monitor outside activities, securities accounts, gifts, entertainment, and political contributions.
• Support regulatory filings such as the annual ADV update, Form PF, and Form D.
• Assist broker-dealer personnel with licensing and registration processes.
• Develop and deliver compliance training and communications.
• Maintain books, records, manuals, and manage regulatory inquiries and exams.
• Support legal document preparation and file maintenance.

What You Have

• 4-6 years of compliance experience at a registered investment adviser or FINRA broker-dealer.
• Familiarity with Advisers Act, FINRA rules, and the Investment Company Act preferred.
• Broker-dealer or 40 Act experience is a plus.
• Series 7 and Series 24 licenses are advantageous or willingness to obtain them.
• Experience reviewing marketing materials for compliance with the Marketing Rule.
• Experience with regulatory exams or inquiries is a plus.
• Knowledge of BSA and AML obligations is beneficial.
• Ability to work independently in a fast-paced environment.
• Excellent communication, project management, and organizational skills.
• Willingness to work in Manhattan three days a week.

What’s In It For You

• Competitive compensation including equity.
• Health, dental, and vision coverage with FSA/HSA options.
• Unlimited PTO.
• 401k match.
• Paid weekly lunch.
• Commuter benefits, life insurance, sabbatical, summer Fridays.

The Pay Range For This Role Is $90,000 - $125,000 USD per year (New York).