Chief Compliance Officer

Overview

• Lead compliance programs for ETFs, investment advisers, and commodity pools, ensuring adherence to SEC, NFA, and CFTC regulations.
• Provide expert guidance on regulatory developments impacting ETFs, derivatives, valuation, liquidity, and related rulemaking.
• Collaborate with cross-functional teams to advise on ETF structuring, operations, investment strategies, and disclosures.
• Develop scalable policies, procedures, and compliance controls aligned with regulatory requirements and fund governing documents.
• Oversee compliance obligations for ETFs, including disclosure monitoring, premium or discount reporting, and regulatory filings.
• Conduct compliance monitoring, portfolio guideline testing, and issue resolution to ensure regulatory adherence.
• Coordinate compliance reviews of third-party service providers, including administrators, custodians, and auditors.
• Support trading oversight frameworks, including best execution governance and related compliance practices.

Key Responsibilities & Duties

• Design, implement, and maintain compliance programs under Rule 206(4)-7 and Rule 38a-1 for ’40 Act trusts and registered entities.
• Monitor and advise on regulatory developments affecting ETFs, ensuring compliance with evolving rules and regulations.
• Lead compliance efforts for ETF launches and product changes, ensuring regulatory adherence throughout the process.
• Translate regulatory requirements into practical solutions and scalable compliance frameworks.
• Perform compliance testing, reporting, and remediation tracking to address and resolve issues effectively.
• Advise stakeholders on ETF structuring, operations, and investment strategies to mitigate regulatory risks.
• Oversee ETF-specific compliance obligations, including disclosure monitoring and regulatory filings.
• Conduct compliance reviews of third-party service providers to ensure adherence to regulatory standards.

Job Requirements

• Juris Doctor (JD) degree required; advanced degrees such as MBA preferred.
• 10-15+ years of compliance experience in financial services, focusing on ETFs, derivatives, and regulatory frameworks.
• Expert knowledge of U.S. securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Experience with regulatory examinations and interactions with SEC, FINRA, and NFA.
• Skilled in risk evaluation and mapping controls across firm practices.
• FINRA Series 7 and 24 licenses required.
• Strong leadership and mentoring skills to develop team members effectively.
• Detail-oriented with the ability to prioritize projects in a fast-paced environment.