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    Research & Regulatory Compliance Associate

    Vista360, LLC is an investment management consulting firm founded in 2002 and located in the metro Milwaukee area.  We are known for delivering expert advice to clients in a practical, customized fashion.  Our clients consist of investment advisers, private funds and mutual funds located across the country, with a concentration of clients in the Midwest.  We assist clients with navigating complex federal securities laws and provide advice to our clients on incorporating industry-standard best practices stemming from the rules and regulations into their business practices and compliance programs.  We place a high value on developing trusting relationships with our clients and team members and we use a strengths-based approach when allocating work amongst team members.  We believe in giving back to our community and helping to make a real difference in the lives of others. Our team launched and provides ongoing support to Bloom360 Learning Community, a private, non-profit school for children ages 5 to 21 who learn differently.

    This professional position assists our consulting team with client projects, regulatory research and core consulting processes.  Research & Regulatory Compliance Associate  responsibilities include:

    • Assist consultants in servicing clients, including taking ownership and responsibility for client responsibilities assigned.  Examples include, but are not limited to: compliance testing, compliance administration, Code of Ethics compliance, SEC exams, regulatory reporting, policies and procedures and marketing materials reviews;
    • Assist in drafting base consulting documents stemming from new or updated rules and regulations;
    • Develop an understanding of Vista360’s consulting approach as well as the rules, regulations and industry best practices relevant to Vista360’s clients;
    • Assist in drafting and presenting summaries to the team of new or updated rules and regulations that impact Vista360’s clients, with a focus on the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
    • Monitor specific industry news publications and websites for regulatory developments;
    • Support Bloom360 Learning Community’s mission through participation in events, contributing special talents and developing genuine, positive relationships with Bloom360 Learners and staff; and
    • Become an active team member through effective communication, new idea generation, improvements to current processes and a positive attitude.

    Requirements include:

    • Associate or bachelor degree
    • Paralegal experience and/or training preferred
    • Experience working in the securities or investment management industry preferred.
    • Strong research, writing and communication skills.
    • Strong technology skills.
    • Experience with compliance and operations software/systems (e.g., Schwab Compliance Technologies, Advent, Charles River, IARD) a plus.
    • Ability to travel to roundtables, conferences and client locations with reasonable notice.  Travel is expected to be minimal (5 – 10% of time).
    • A desire to be part of a dynamic and friendly team where professional and personal development is supported and encouraged.

    Compensation and Benefits:

    • Salary, bonus potential, plus standard benefits package including health insurance and 401(k).
    • Opportunities for professional growth and mentoring by a seasoned team of professionals.
    • Casual work environment with a strong focus on work-life balance.

    Interested, qualified candidates should submit a resume and cover letter to:
    Patrick Braun
    info@vista360llc.com
    www.VISTA360LLC.com

    Recruiters need not apply.

    Vista360 is an Equal Opportunity Employer.

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    Location = East Troy
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