Compliance VP, ETF & Registered Funds.
Full-time
Howard-Sloan Search
VP, Compliance – ETFs & ‘40 Act Registered Funds
A fast-growing global Fin-Tech wealth & asset management firm is hiring a Compliance Officer for their ETF, Alternative Investments Fund-of-Funds & 40's Act Registered Funds businesses.
This is a hands-on, visible role, provindg regulatory & compliance advisory coverage on ETFs & registered funds & and its NFA/CFTC-registered commodity pools.
Responsibilities
- Act as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered funds
- Oversee the funds’ compliance and governance framework, and ensure the funds follow their governing documents
- Advise on new regulations affecting ETFs, including derivatives, valuation and liquidity rules
- Collaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosures
- Review marketing materials to make sure alignment with fund disclosures, regulations and internal policy
- Update policies, procedures and controls in accoradance with regulatory requirements
- Oversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filings
- Monitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversight
- Run compliance testing and reporting, and track issues until they’re fixed
- Coordinate reviews of outside service providers: administrators, custodians, legal counsel and auditors
Requirements
- 10+ years of compliance experience in financial services, including ETFs, derivatives and alternatives
- Deep knowledge of the ‘40 Act, the Advisers Act, the ‘33 Act, the ‘34 Act, and SEC, CFTC, NFA and FINRA rules
- Hands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programs
- Experience running compliance programs for investment companies, investment advisers and NFA/CFTC registrants
- Direct experience with SEC, FINRA and/or NFA exams or inquiries
- Series 7 and 24 preferred
Vacancy posted 3 days ago
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