ETF & Funds Compliance Lead — 40 Act Expert

Howard-Sloan Search; New York (NY); Presencial; USD 180.000 - 280.000; Jornada completa

Descripción de la vacante

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

Formación

• 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.

Responsabilidades

• 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

Conocimientos

ETF compliance

Regulatory advisory

Governance framework

Regulatory filings

Derivatives compliance

Liquidity rules

Descripción del empleo

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