ETF & 1940 Act Registered Funds Compliance VP

Atlas Search; New York (NY); Sur place; USD 120 000 - 180 000; Plein temps

Résumé du poste

Atlas Search’s fintech platform seeks a Compliance Officer to oversee ETF and 1940 Act Registered Funds compliance, advise on SEC advisers, fund governance, and regulatory filings. You will implement scalable policies, monitor disclosures, and coordinate with product, operations, and auditors to manage regulatory risk.

The role requires deep regulatory knowledge, leadership in compliance initiatives, and strong collaboration with cross-functional teams in a fast-paced environment.

Responsabilités

• Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c–11.
• Oversee the administration of the Fund's compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
• Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
• Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
• Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders.
• Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
• Oversee product-specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
• 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 ensure timely resolution of issues.
• Oversee and coordinate compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.

Connaissances

Regulatory knowledge

Compliance monitoring

Policy development

Stakeholder communication

Risk assessment

Description du poste

A top Alternatives FinTech Platform is looking to hire a Compliance Officer to help oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF), Alternative Investments Fund-of-Funds and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, Investment Company Act, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.

Responsibilities

• Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c?11.
• Oversee the administration of the Fund's compliance and governance framework.
• Assist in monitoring compliance with fund governing documents.
• Advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
• Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
• Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures.
• Review fund marketing materials for consistency with fund disclosures, governing documents, regulatory requirements, and internal policies, and coordinate approvals with relevant stakeholders.
• Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
• Oversee product-specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
• 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 ensure timely resolution of issues.
• Oversee and coordinate compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.