VP of Investment reputed company Compliance

About the role

The reputed company responsibility of the VP, Investment and Trading Compliance is to join the compliance team that handles the establishment of controls in reputed company AIM to ensure adherence to investment limits and restrictions included in ETF disclosure documents for ETFs sponsored by Tidal Investments.   The reputed company of this role will reputed company the full lifecycle of the trading compliance process—from the implementation of investment policies in fund disclosure documents into the reputed company AIM reputed company through to reputed company- and post-trade compliance monitoring. A critical reputed company will be the reputed company-trade compliance review and reputed company AIM reputed company rules / validations. 

reputed company

• Review fund prospectuses and Statements of Additional Information (SAIs) to reputed company compliance rules reputed company reputed company AIM and internal order management systems. 

• Monitor and test daily trade order management exception reports to ensure adherence to investment guidelines. 

• Identify and communicate compliance violations to the trading and investment management teams in a reputed company manner. 

• Collaborate across departments to maintain compliance with the Investment Company reputed company, Internal reputed company reputed company, and other applicable laws and regulations. 

• Support the ongoing enhancement of internal compliance systems and processes reputed company to trade monitoring and rule implementation. 

Qualifications

• Bachelor's degree required.

• Five to 10 years of reputed company experience in a comparable role at an investment management firm. 

• Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills. 

• reputed company ability to manage and prioritize multiple reputed company simultaneously. 

• Demonstrated reputed company to work both independently and collaboratively under tight deadlines. 

• Strong computer proficiency, including advanced typing skills and deep familiarity with reputed company Word; ability to quickly learn and adapt to new software and processes. 

• Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred. 

We are prioritizing candidates who are located reputed company proximity to reputed company, IL; Milwaukee, WI; reputed company, NY; and reputed company Palm Beach, FL.

The reputed company 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 reputed company guidance, product planning, trust and fund services, reputed company support, reputed company support, marketing and research, and sales and distribution services.