Senior Compliance Leader, ETFs & Regulatory Risk

ProShares; Bethesda (MD); Hybrid; USD 130,000 - 160,000; Full time

Benefits offered by this job

Hybrid work schedule

Competitive pay and discretionarybonus

Health care benefits (medical, dental,

Vision)

401(k) retirement plan with matching

Education assistance

Wellness Programs

Paid time off

Spending Accounts

Job summary

ProShares is seeking a Senior Manager, Compliance to partner with multiple business units and ensure robust regulatory risk management. The role reports to the Chief Compliance Officer and leads the compliance program across the organization, including policy development, advisory support, and training for staff.

The position requires extensive experience with SEC, FINRA, CFTC, and major investment-related regulations, plus Series 63/7/24 licenses.

Qualifications

• Min 10+ years in a compliance role for a registered investment company.
• Familiarity with fund distribution, broker-dealer and investment advisor issues.
• 10+ years’ experience with SEC, FINRA, CFTC and other securities agencies.
• 10+ years’ experience writing and implementing policies and procedures.
• 10+ years’ experience conducting audits.
• Strong knowledge of the Investment Company Act of 1940 and related regulations.
• Series 63, 7, & 24 licenses required.

Responsibilities

• Develop and implement compliance policies and procedures with the CCO.
• Serve as Compliance Officer in the CCO's absence.
• Direct the Compliance function across the organization.
• Identify and resolve compliance issues; test controls.
• Manage relationships with regulatory agencies and service providers.
• Advise on compliance for advisers, ETFs, funds, CPOs and CTAs.
• Administer risk-based compliance testing.
• Monitor new regulatory requirements and map to rules.
• Provide counsel and training for sales, marketing, strategy, and PM staff.
• Review prospectuses and advertising for conflicts of interest.

Skills

Regulatory compliance

Policy development

Risk management

Cross-functional collaboration

Education

Bachelor's or BA degree

Juris Doctor (JD) preferred

Job description

ProShares is seeking a Senior Manager, Compliance to partner with multiple business units and ensure robust regulatory risk management. The role reports to the Chief Compliance Officer and leads the compliance program across the organization, including policy development, advisory support, and training for staff.

The position requires extensive experience with SEC, FINRA, CFTC, and major investment-related regulations, plus Series 63/7/24 licenses.