Compliance VP, ETF & Registered Funds.
Howard Sloan Search · New York, New York, United States
FULL TIMEpermanent
Job Description
VP, Compliance – ETFs & ‘40 Act Registered Funds
Are you ready to apply Make sure you understand all the responsibilities and tasks associated with this role before proceeding.
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.
ResponsibilitiesAct as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered fundsOversee the funds’ compliance and governance framework, and ensure the funds follow their governing documentsAdvise on new regulations affecting ETFs, including derivatives, valuation and liquidity rulesCollaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosuresReview marketing materials to make sure alignment with fund disclosures, regulations and internal policyUpdate policies, procedures and controls in accoradance with regulatory requirementsOversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filingsMonitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversightRun compliance testing and reporting, and track issues until they’re fixedCoordinate reviews of outside service providers: administrators, custodians, legal counsel and auditorsRequirements xzbcwsv 10+ years of compliance experience in financial services, including ETFs, derivatives and alternativesDeep knowledge of the ‘40 Act, the Advisers Act, the ‘33 Act, the ‘34 Act, and SEC, CFTC, NFA and FINRA rulesHands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programsExperience running compliance programs for investment companies, investment advisers and NFA/CFTC registrantsDirect experience with SEC, FINRA and/or NFA exams or inquiriesSeries 7 and 24 preferred
Are you ready to apply Make sure you understand all the responsibilities and tasks associated with this role before proceeding.
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.
ResponsibilitiesAct as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered fundsOversee the funds’ compliance and governance framework, and ensure the funds follow their governing documentsAdvise on new regulations affecting ETFs, including derivatives, valuation and liquidity rulesCollaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosuresReview marketing materials to make sure alignment with fund disclosures, regulations and internal policyUpdate policies, procedures and controls in accoradance with regulatory requirementsOversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filingsMonitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversightRun compliance testing and reporting, and track issues until they’re fixedCoordinate reviews of outside service providers: administrators, custodians, legal counsel and auditorsRequirements xzbcwsv 10+ years of compliance experience in financial services, including ETFs, derivatives and alternativesDeep knowledge of the ‘40 Act, the Advisers Act, the ‘33 Act, the ‘34 Act, and SEC, CFTC, NFA and FINRA rulesHands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programsExperience running compliance programs for investment companies, investment advisers and NFA/CFTC registrantsDirect experience with SEC, FINRA and/or NFA exams or inquiriesSeries 7 and 24 preferred
Details
| Company | Howard Sloan Search |
| Location | New York, New York, United States |
| Type | FULL TIME |
| Niche | hr |
| Experience | permanent |