Chief Compliance Officer

Fantastic opportunity with a growing company. Pacer Financial is an independent financial wholesaling firm that markets financial products such as the Pacer ETFs to financial advisors. Pacer ETFs launched in June 2015 and has grown to over $40 billion in assets under management.

The ideal candidate is knowledgeable about broker/dealer and registered investment advisor compliance policies and procedures.

• Develop, implement, and enforce policies and procedures designed to ensure compliance with governing entities laws and regulations such as FINRA and the SEC.
• Create sound internal controls and monitor adherence to them and proactively audit processes, practices, and documents to identify weaknesses.
• Assess the organization's risk exposure and take steps to mitigate potential risks such as implementing controls to minimize or eliminate them.
• Perform compliance testing, monitoring, and preparing reports to support the registered investment adviser and broker/dealer and conduct audits to ensure the policies are effective.
• Perform compliance monitoring of all business communications (email, social media, text messaging, etc.).
• Perform training on compliance policies for company registered representatives and investment advisor representatives.
• Assist in marketing material review ensuring compliance with FINRA and SEC guidelines.
• Assist the portfolio team with various fund operation reporting requirements such as Annual & Semi-annual reports, prospectus and SAI filings, new fund filings, and other ongoing regulatory reporting requirements.
• Provide reports to the fund Trustees on any issues that may affect or impact the funds.
• Assist with new fund filings by working with the fund’s custodian.
• Assist with new fund launches by working with the various exchanges and managing other ongoing exchange reporting requirements.
• Develop and maintain a broad knowledge and awareness of the investment industry and regulatory policies.
• Perform reviews of any third-party relationships such as sub advisors and index providers to ensure compliance within company standards.
• Performs other duties assigned.
• Position requires in office 5-days week.

Skills Required

• Excellent relationship management skills
• Ability to work in a fast paced, challenging environment.
• Meticulous and dedicated to quality with exceptional organizational and time management skills.
• Elevated level of initiative taking.
• Strong communications skills
• Minimum of 5 years’ relevant work experience focused on Registered 40 Act products, ideally at a financial services firm or asset manager.
• Extensive knowledge and understanding of regulatory requirements applicable to US investment managers and broker-dealers, including Investment Company Act of 1940 and Investment Advisers Act