Hourly Wage for WAYPOINT REAL ESTATE INVESTMENTS Sales and Compliance Analyst Salary in the United States

Waypoint Direct Investments, LLC, a Stamford based broker-dealer specializing in real estate private offerings, seeks a Sales and Compliance Analyst. This role will report directly to the President & Chief Compliance Officer and will be based in our Stamford, CT office. 

What you will do... 

• Interface directly with registered personnel and facilitate the sales of Reg D exempt private offerings
• Assist with transaction due diligence and ensure compliance with the firm’s sales practice policies including SEC Reg BI and FINRA Suitability requirements
• Provide post transaction support to affiliated sponsor’s investor relations group as well as sponsor’s operational and accounting teams
• Participate in new representative onboarding procedures Form U-4 processing and updates
• Assist with annual compliance reviews, including control testing and policy improvement recommendations
• Participate in regulatory examinations and all compliance and legal related issues
• Assist the CCO in keeping current with new rules and regulations and other legal and assist with the update of all related policies and procedure manuals
• Assist with the development and administration of initial, annual, and ad hoc compliance training programs for approximately 35 registered personnel
• Perform ongoing monitoring and approval of outside activities, personal trading activities and gifts
• Assist affiliated sponsor with investor qualification and AML/KYC verifications for new investors
• Manage and update the department’s compliance calendar to reflect upcoming regulatory and internal deadlines
• Assist CCO and FINOP with regulatory filings

What you will bring...

• Experience working directly with registered personnel in support of sales and compliance functions
• Minimum of 3 year’s experience at an SEC registered broker-dealer
• Must be technical savvy – prior experience within a digital client relationship management system preferred
• Sound judgment and ability to promptly identify and escalate regulatory and compliance issues
• Series 82 (or 7) and 63 registrations required. Series 14 preferred. 

Additional Skills...

• Excellent written and oral communication skills
• Ability and willingness to build relationships across the organization
• Organized with keen attention to detail
• Ability to quickly synthesize sets of information into summary reporting to management
• Ability to work with others in a collaborative team environment

Company Overview: 

Waypoint Real Estate Investments, LLC "Waypoint"  is a vertically integrated real estate investment firm focused on the U.S. residential sector.  Waypoint acquires and develops conventional multifamily, student housing and senior housing properties throughout the United States.  Founded in 2011, Waypoint’s investment activity totals approximately $4 billion across more than 27,000 units.  Waypoint is comprised of approximately 100 professionals in four offices with senior management averaging over 25 years of real estate investment and management experience through the U.S.