VP – ETF & Registered Funds Compliance Officer

Responsibilities: Provide regulatory compliance oversight for exchange-traded funds (ETFs) and registered investment products governed by the Investment Company Act of 1940.Maintain and enhance compliance programs, internal controls, and governance procedures supporting fund operations. Interpret SEC regulations, including Rule 6c-11, and assess their impact on investment products and business activities. Monitor regulatory developments involving derivatives, portfolio liquidity, valuation, and investment restrictions. Partner with investment teams, product development, and operations to address compliance considerations across fund structures and strategies. Evaluate fund disclosures, promotional materials, and investor communications for regulatory consistency. Develop and implement compliance policies that align with fund documentation and applicable securities regulations. Oversee regulatory filings, disclosure requirements, and ETF-specific reporting obligations. Conduct portfolio compliance reviews, post-trade surveillance, and investment guideline monitoring. Support best execution oversight and trading-related compliance initiatives. Perform risk-based compliance testing, identify deficiencies, and coordinate corrective actions. Manage compliance oversight of external fund service providers, including administrators, custodians, and professional advisers. Collaborate with internal stakeholders to strengthen regulatory controls and maintain examination readiness.