Senior Funds Compliance Officer ETFs & Registered Funds

Atlas Search; New York (NY); Hybrid; USD 150,000 - 180,000; Full time

Job summary

Atlas Search is hiring a Compliance Officer for ETFs and registered funds in New York. The role oversees fund compliance programs, governance and regulatory requirements, advising cross-functional teams on risk and control improvements.

The ideal candidate has 10+ years of financial services compliance experience and strong knowledge of U.S. securities laws, including 1940 Act regimes and Rule 6c-11. Hybrid in-office and remote Fridays.

Qualifications

• Bachelor’s degree required; JD or MBA preferred.
• 10+ years of financial services compliance experience.
• Strong knowledge of U.S. securities laws, including the Investment Company Act and related rules.

Responsibilities

• Oversee compliance programs and governance for ETFs and registered funds.
• Advise on regulatory developments affecting ETFs and funds, including derivatives and disclosures.
• Collaborate with Product, Portfolio Management, Operations and other teams on regulatory considerations.
• Review marketing materials, fund disclosures and governing documents for regulatory compliance.
• Develop and maintain compliance policies, procedures, controls and monitoring processes.
• Coordinate regulatory examinations and interactions with SEC, FINRA, NFA and other regulators.
• Mentor junior team members and assess compliance risks across the business.

Skills

Financial services compliance

US securities laws

Regulatory examinations

Risk assessment & controls

Mentoring junior staff

Education

Bachelor’s degree

Juris Doctor or MBA preferred

Job description

Atlas Search is hiring a Compliance Officer for ETFs and registered funds in New York. The role oversees fund compliance programs, governance and regulatory requirements, advising cross-functional teams on risk and control improvements.

The ideal candidate has 10+ years of financial services compliance experience and strong knowledge of U.S. securities laws, including 1940 Act regimes and Rule 6c-11. Hybrid in-office and remote Fridays.