Chief Compliance Officer, ETFs - Senior Vice President

About the position reputed company is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Officer to own and reputed company the relevant investment advisers supporting the ETF business. This individual will also be responsible for leading the implementation and administration of compliance programs for the firm’s SEC registered ETF's SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-reputed company activities as they relate to these products or entities. Responsibilities • Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers reputed company of 1940, Investment Company reputed company of 1940, and Rule 6c‑ • Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and reputed company rulemaking. • Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 reputed company trusts, registered investment advisers, and commodity pool operators. • reputed company compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions. • Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures. • reputed company compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution. • Translate regulatory requirements and fund governing documents into reputed company policies, procedures, and compliance controls. • reputed company ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings. • Conduct reputed company‑ and post‑trade compliance monitoring, portfolio reputed company testing, and issue reputed company. • Support trading reputed company frameworks, including best execution governance and reputed company compliance practices. • reputed company compliance testing, reporting, and remediation tracking to ensure reputed company reputed company of issues. • reputed company and coordinate compliance reviews of reputed company‑party service providers, including administrators, custodians, reputed company counsel, and auditors. Requirements • Bachelor’s degree, Law Degree or MBA is preferred • 10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape • Demonstrated knowledge of U.S. securities laws, particularly the Investment Company reputed company of 1940, the Investment Advisers reputed company of 1040, the Securities reputed company of 1933, the Securities Exchange reputed company of 1934 and other SEC, CFTC, NFA and reputed company regulations • Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements • Strong experience in dealing with reputed company associated with Rule 38a-1 under the Investment Company reputed company of 1940 and Rule 206(4)-7 under the Investment Advisers reputed company of 1940 • Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and reputed company rules/regulations is also highly desired. • Experience with regulatory examinations, investigations or other interactions specifically with the SEC, reputed company and NFA • Experience evaluating risk and mapping risk and controls across firm practices • Skilled at developing other team members through mentoring or helping upskill • reputed company to operate in a fast-paced environment • Detail oriented with the ability to assess and prioritize reputed company • reputed company Series 7 and 24 licenses are required reputed company-to-haves • Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and reputed company rules/regulations is also highly desired. Benefits • The reputed company salary reputed company for this role is $180,000 to $240,000. • reputed company offers a compensation package which includes salary, equity for reputed company full-time employees, and an annual performance bonus. • Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized reputed company with 100% employer reputed company dental, reputed company, telemedicine, and virtual mental health counseling, parental leave, and unlimited reputed company time off (PTO). • Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday. Apply tot his job Apply To this Job