ETF and 1940 Act Registered Funds Compliance Officer - Vice President

Required

• Bachelor’s degree is required; Law Degree or MBA is preferred
• 10+ 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 Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
• Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
• Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
• Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
• Experience evaluating risk and mapping risk and controls across firm practices
• Skilled at developing other team members through mentoring or helping upskill
• Able to operate in a fast-paced environment
• Detail oriented with the ability to assess and prioritize projects
• FINRA Series 7 and 24 licenses are preferred