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David Careers

Registered Funds Compliance Officer VP/AVP

Posted 10 days ago

atlas searchBrooklyn (NY)
Compliance ManagersPortfolio Management and Investment Advice

SENIORITY

Senior

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About the role

Job Title: ETF & 1940 Act Registered Funds Compliance Officer, AVP
Job Description: About the Roleour firm is looking to hire a Compliance Officer to support the relevant investment advisers serving the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds businesses. This individual will assist with the implementation and administration of compliance programs for the firm’s SEC-registered investment advisers, registered investment companies, NFA- and CFTC-registered commodity pools, and other compliance-related activities involving these products or entities.
Responsibilities: Maintain working knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and Rule 6c?11.Support the administration of the funds’ compliance and governance framework. Assist in monitoring compliance with fund governing documents. Monitor regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking, and assist in assessing their impact. Support ETF and Registered Funds initiatives by identifying regulatory risks, escalating issues, and helping develop practical solutions. Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders. Conduct post-trade compliance monitoring, portfolio guideline testing, and issue resolution. Support trading oversight frameworks, including best execution governance and related compliance practices. Perform compliance testing, reporting, and remediation tracking to support timely resolution of issues. Assist with compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.
Company Requirements
Qualifications:
  • Bachelor’s degree is required 6+ years of compliance experience in the financial services industry, including experience with exchange-traded funds, derivatives, alternative investments, and the applicable regulatory landscape
  • Experience supporting investment company, investment adviser, and NFA or CFTC compliance programs and requirements
  • Experience supporting regulatory examinations, investigations, or other interactions with the SEC, FINRA, or NFAExperience evaluating risk and mapping risks and controls across business practices
  • Able to collaborate with and provide guidance to colleagues across functions and levels
  • Able to operate effectively in a fast-paced environment
  • Detail-oriented, with the ability to assess and prioritize multiple projects

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