Tidal is an industry-leading ETF platform offering full-stack services to successfully launch, manage, and operate ETFs.

AVP, Investment Adviser Compliance

Financial Planning and AnalysisFinancial Planning and AnalysisFull TimeRemoteTeam 51-200Since 2012H1B No SponsorCompany Site LinkedIn

Location

United States

Posted

137 days ago

Salary

Not specified

Bachelor Degree5 yrs expEnglish

Job Description

• Oversee the management of the personal trading portal for firm employees (ComplySci), ensuring adherence to internal policies and regulatory requirements. • Monitor the electronic communications of firm employees, ensuring firm employees’ adherence to internal policies and regulatory requirements as it relates to their electronic communications. • Assist the VP of Compliance and CCO with the preparation and filing of required reports, such as Form ADV, Form 13F, Form 13H, Form 13G. • Work with the marketing literature compliance team in monitoring the product advertising carried out by third-party sub-advisers and/or sponsors to the firm’s ETFs. • Assist the VP of Compliance and CCO with testing of the firm’s written policies and procedures, and the firm’s compliance with its written policies and procedures. • Assist the VP of Compliance and CCO with the preparation and maintenance of the firm’s annual compliance report, reflecting the firm's adherence to regulatory standards and internal policies. • Assist the VP of Compliance and CCO in a variety of investment adviser compliance projects, including policy development, risk assessment, and implementation of best practices.

Job Requirements

At least 5 years of experience in a compliance role focusing on investment adviser compliance in an investment management firm, compliance consulting firm, or law firm.
Understanding of Rule 206(4)-7 under the Advisers Act, investment adviser regulations, and compliance processes.
Strong analytical and problem-solving skills, excellent written and verbal communication abilities, and proficiency in managing compliance systems and tools.
Energetic self-starter with strong organizational skills, excellent communication and interpersonal skills (both verbal and written), and strong drafting/writing skills.
Ability to prioritize and work concurrently on a variety of projects.
Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word.
Proven ability to adapt to new software and processes.
At least 5 years of ETF, mutual Fund, Investment Advisers Act experience, ideally in a mutual fund/ETF, financial services, or law firm environment with exposure to securities matters is desired.
BA degree required.