ETF & 1940 Act Registered Funds Compliance Officer - Vice President
$150,000–$175,000 year
Hybrid · New York City, New York, United States or Salt Lake City, Utah, United States
Job Summary
ETF & 1940 Act Registered Funds Compliance Officer – Vice President who will oversee compliance for ETF and 1940 Act Registered Funds businesses, lead and implement compliance programs for SEC Registered Investment Advisers, NFA/CFTC registered pools, and related activities. Responsibilities include maintaining expert regulatory knowledge, monitoring developments affecting ETFs, designing and maintaining programs under Rule 206(4)-7 and Rule 38a-1, providing compliance leadership to product/portfolio/operations, advising on product structuring and disclosures, leading launches and post-launch execution, translating regulations into scalable policies and controls, overseeing disclosures, regulatory filings, monitoring, testing, third-party reviews, and supporting trading oversight. Qualifications include a Bachelor’s degree (Law or MBA preferred) and 10+ years in financial-services compliance with strong SEC, FINRA, NFA/CFTC knowledge; FINRA Series 7 and 24 licenses preferred. Benefits include a base salary range of $150k-$175k, potential equity, bonus, and a hybrid work schedule with in-office Mon-Thu and remote on Friday.
Required Qualifications
- Bachelor’s degree, Law Degree or MBA is preferred
- 10+ years of compliance experience in the financial services industry
- Demonstrated knowledge of U.S. securities laws including the Investment Company Act of 1940 and the Investment Advisers Act of 1940
- Strong knowledge of investment company, investment adviser, and FINRA/NFA/CFTC compliance programs
- Experience with Rule 38a-1 and Rule 206(4)-7 compliance
- Experience with ETFs and other alternative assets; familiarity with FINRA rules/regulations
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