Deputy Chief Compliance Officer

Deputy Chief Compliance Officer

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.

Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.

Tidal Financial Group is a leading ETF investment and technology platform helping clients launch, manage, trade and grow ETFs. As of July 31, 2026, Tidal supports more than 440 ETFs for more than 110 issuers and sponsors, with more than $74 billion in assets under service. The platform spans the full ETF lifecycle and some of the industry's most innovative and complex strategies.

We are looking for a builder, operator, and regulatory leader to become the Chief Compliance Officer's right hand and lead the next generation of compliance at Tidal. This is not a maintenance role. It is an opportunity to modernize a complex compliance ecosystem so it can move at the speed and scale of the business without compromising independence or investor protection.

The Deputy Chief Compliance Officer will have day to day leadership across Tidal's entire compliance structure, integrating investment company trust compliance, investment guideline compliance, investment adviser compliance, and due diligence into one high-performing operating model. The Deputy will set standards, establish accountability, challenge the business, drive remediation and make risk visible before it becomes an incident. Tidal's Compliance function extends beyond the 1940 Act and Advisers Act to enterprise-wide privacy, cybersecurity, conflicts, employee conduct, service provider oversight, regulatory change, and compliance team leadership.

A central part of the mandate is to leverage technology - including data, workflow automation and thoughtfully governed AI to improve surveillance, testing, evidence, issue management, regulatory change and board reporting. Human judgment remains essential; technology should make that judgment faster, better informed, and more scalable.

The Deputy reports to the Chief Compliance Officer and works closely with the General Counsel, senior management, fund boards, independent trustees, and leaders across Tidal. The Deputy may exercise delegated authority and may over time be formally appointed to assume some or all CCO responsibilities. Until then, the statutory responsibilities and direct board accountability of each formally designated CCO remain unchanged.

Within 12 months, this leader will have complete operating leadership of Tidal's compliance architecture - its people, programs, controls, systems, data, escalation paths and external relationships. The Deputy will be a trusted advisor to the CEO, General Counsel, Chief Compliance Officer, senior management and fund boards, proactively de-risking the organization by anticipating issues, fixing root causes and bringing forward solutions - not simply identifying problems.

Material issues are identified early and resolved on time, with a reduction in recurring findings and aged remediation items. Compliance is proactively embedded in the development and launch of novel or complex products. Management and the Board receive forward-looking risk insights, while technology and AI are leveraged to reduce manual processes and strengthen control coverage.

Advisers Act Compliance. Lead the Rule 206(4)-7 compliance program and related controls covering portfolio management, trading, best execution, conflicts of interest, Codes of Ethics, the Marketing Rule, disclosures, regulatory filings and books and records.

Investment Guideline Compliance. Oversee pretrade and posttrade monitoring, rule coding, data quality, exception governance and escalation across regulatory, tax, disclosure, board and internal investment restrictions.

1940 Act Compliance. Lead the Rule 38a-1 compliance program across multiple ETF trusts, including program administration, annual reviews, risk-based testing, service provider oversight, board reporting and the identification, escalation and remediation of Material Compliance Matters.

Due Diligence. Build a risk-tiered program for sponsors, advisers, subadvisers, portfolio managers, index providers and critical service providers, with clear risk ratings, conditions and ongoing monitoring.

Broker-dealer Compliance, including building a compliance infrastructure for a captive broker-dealer incorporating Securities Exchange Act of 1934 and FINRA compliance, and maintaining compliance to meet the needs of the affiliated investment adviser and ETF Series Trusts.

Serve as the senior escalation point and maintain a single view of material compliance risk, recurring control failures, open issues and remediation.

Embed Compliance across the product lifecycle, from concept and registration statement filing through onboarding, launch and material change, with enhanced scrutiny for derivatives and Rule 18f-4 compliance, leverage, custom baskets, commodity interests and digital asset related exposures.

Lead regulatory examination and inquiry readiness, response and remediation across the SEC, CFTC, NFA, and other applicable regulators.

Build a technically strong, cross-trained compliance team and partner constructively across Tidal while preserving Compliance's independence and challenge function.

The Deputy will have direct access to the Chief Compliance Officer, General Counsel and relevant fund boards; access to the records, systems, personnel and service providers required to perform the role; and authority to require remediation and escalate material or repeated issues. When delegated by the Chief Compliance Officer, the Deputy may pause an onboarding, filing, launch, trade, marketing item or other activity while a material requirement remains unresolved. First-line teams remain responsible for compliant execution, and formally designated program owners retain their statutory responsibilities unless and until a separate appointment is made.

At least 12 years of progressive investment management compliance experience, including senior leadership of ETF, Rule 38a-1 and Rule 206(4)-7 programs.

Credibility with complex products and operating models, including options, swaps, futures, leverage, inverse strategies, commodity interests or digital asset related exposures.

A demonstrated record of taking control of a complex function, simplifying it and building scalable systems that measurably reduce risk, including the responsible use of data, automation and AI.

Exceptional judgment and communication, with the confidence to advise a CEO and fund board, challenge senior leaders and make difficult calls without becoming bureaucratic.

Prior experience as a Deputy CCO, named CCO or senior leader in a multi-series fund complex, ETF platform or multi-manager environment is strongly preferred. A relevant professional credential is a plus.