VP, Registered Funds Compliance Officer

Compliance Officer – ETFs & Registered Funds

Location: New York, NY

Base Salary: $150,000–$180,000 + Bonus & Equity

Work Arrangement: Hybrid – Monday through Thursday in-office, Fridays remote

Position Overview

Alternative Investment FinTech platform is seeking a Compliance Officer to support compliance programs across ETFs, alternative investment funds-of-funds, and 1940 Act registered funds. This individual will oversee fund compliance and governance, advise on regulatory requirements, and partner with Product, Portfolio Management, Operations, and other stakeholders to identify risks and maintain effective compliance controls.

Responsibilities

• Oversee compliance programs and governance frameworks for ETFs, registered investment companies, investment advisers, and applicable commodity pools.
• Maintain expertise in the Investment Company Act of 1940, Investment Advisers Act of 1940, and ETF-specific regulations, including Rule 6c-11.
• Advise on regulatory developments affecting ETFs and registered funds, including derivatives, valuation, liquidity, and disclosure requirements.
• Partner with Product, Portfolio Management, Operations, and other teams on product structuring, investment strategies, fund operations, and regulatory considerations.
• Review marketing materials, fund disclosures, and governing documents for compliance with applicable regulations and internal policies.
• Develop and maintain compliance policies, procedures, controls, and monitoring processes.
• Oversee product-specific compliance obligations, including premium/discount reporting, regulatory filings, and disclosure monitoring.
• Conduct post-trade compliance monitoring, portfolio guideline testing, and best execution oversight.
• Perform compliance testing, document findings, track remediation, and ensure timely resolution of identified issues.
• Support regulatory examinations and interactions with the SEC, FINRA, NFA, and other applicable regulators.
• Coordinate compliance reviews of third-party service providers, including fund administrators, custodians, legal counsel, and auditors.
• Assess compliance risks, evaluate control effectiveness, and help develop and mentor other team members.

Qualifications

• Bachelor’s degree required; JD or MBA preferred.
• 10+ years of financial services compliance experience, including exposure to ETFs, derivatives, alternative investments, and registered funds.
• Strong knowledge of U.S. securities laws, including the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934.
• Experience with investment company, investment adviser, and NFA/CFTC compliance programs.
• Knowledge of Rule 38a-1 under the Investment Company Act and Rule 206(4)-7 under the Investment Advisers Act.
• Experience with regulatory examinations, investigations, or other interactions involving the SEC, FINRA, or NFA.
• Ability to assess compliance risks, map controls to business activities, and develop practical solutions.
• Strong attention to detail, organizational skills, and ability to prioritize competing responsibilities in a fast-paced environment.
• Experience mentoring or developing junior team members.
• FINRA Series 7 and Series 24 licenses preferred.