Compliance VP, ETF & Registered Funds.

Howard-Sloan Search; New York (NY); On-site; USD 180,000 - 280,000; Full time

Job summary

Howard-Sloan Search is seeking a VP, Compliance – ETFs & 40 Act Registered Funds for a fast-growing global Fin-Tech wealth and asset management firm. This hands-on role provides regulatory and compliance advisory coverage on ETFs, registered funds and related NFA/CFTC-registered commodity pools.

The successful candidate will oversee the funds' compliance framework, ensure governance in accordance with governing documents, and advise on new rules affecting ETFs, including derivatives, valuation

Qualifications

• 10+ years of compliance experience in financial services, including ETFs, derivatives and alternatives.
• Deep knowledge of the Investment Company Act, the Advisers Act, the 33 Act, the 34 Act, and SEC, CFTC, NFA and FINRA rules.
• Hands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programs.
• Experience running compliance programs for investment companies, investment advisers and NFA/CFTC registrants.
• Direct experience with SEC, FINRA and/or NFA exams or inquiries.

Responsibilities

• Act as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered funds.
• Oversee the funds’ compliance and governance framework, and ensure the funds follow their governing documents.
• Advise on new regulations affecting ETFs, including derivatives, valuation and liquidity rules.
• Collaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosures.
• Review marketing materials to make sure alignment with fund disclosures, regulations and internal policy.
• Update policies, procedures and controls in accordance with regulatory requirements.
• Oversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filings.
• Monitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversight.
• Run compliance testing and reporting, and track issues until they’re fixed.
• Coordinate reviews of outside service providers: administrators, custodians, legal counsel and auditors

Skills

ETF compliance

Regulatory advisory

Governance framework

Regulatory filings

Derivatives compliance

Liquidity rules

Job description

VP, Compliance – ETFs & ‘40 Act Registered Funds

A fast-growing global Fin-Tech wealth & asset management firm is hiring a Compliance Officer for their ETF, Alternative Investments Fund-of-Funds & 40's Act Registered Funds businesses.

This is a hands-on, visible role, provindg regulatory & compliance advisory coverage on ETFs & registered funds & and its NFA/CFTC-registered commodity pools.

Responsibilities

• Act as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered funds
• Oversee the funds’ compliance and governance framework, and ensure the funds follow their governing documents
• Advise on new regulations affecting ETFs, including derivatives, valuation and liquidity rules
• Collaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosures
• Review marketing materials to make sure alignment with fund disclosures, regulations and internal policy
• Update policies, procedures and controls in accoradance with regulatory requirements
• Oversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filings
• Monitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversight
• Run compliance testing and reporting, and track issues until they’re fixed
• Coordinate reviews of outside service providers: administrators, custodians, legal counsel and auditors

Requirements

• 10+ years of compliance experience in financial services, including ETFs, derivatives and alternatives
• Deep knowledge of the ‘40 Act, the Advisers Act, the ‘33 Act, the ‘34 Act, and SEC, CFTC, NFA and FINRA rules
• Hands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programs
• Experience running compliance programs for investment companies, investment advisers and NFA/CFTC registrants
• Direct experience with SEC, FINRA and/or NFA exams or inquiries