Senior Compliance Officer- ETFs and SMAs

About this Position

We are seeking a highly skilled and experienced professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded Funds (ETFs) and separately managed account (SMA) platforms. This role will be responsible for assisting the Head of North America Compliance in developing and maintaining an effective compliance program that ensures adherence to legal and regulatory requirements within the investment industry and providing consultation to stakeholders regarding the firm’s products.

Responsibilities
 

• Assist the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, regulations, and guidelines.

• Collaborate with various departments to develop, implement, and maintain policies and procedures that promote compliance with regulatory requirements and industry best practices.

• Stay up to date with changes in regulatory requirements and industry trends to provide guidance and expertise on compliance matters.

• Assist in the development and delivery of compliance training programs to educate associates on relevant laws, regulations, and policies.

• Collaborate with other assurance partners to advice the business on compliance and regulatory matters.

• Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and coordinating regulatory examinations.

Qualifications

Required:

• Bachelor's degree in finance, business administration, law, or a related field.

• 12+ years of experience in compliance within the investment management or financial services industry, with a focus on regulatory compliance. 

• Investment Company Act of 1940 compliance experience including ETFs

• ETF product expertise

Preferred:

• Advanced degree or professional certifications (such as CFA, CPA, or JD)

• Prior experience supporting Exchange-Traded Funds (ETFs) or separately managed account platforms (SMAs)

• Strong knowledge of relevant laws, regulations, and guidelines, including but not limited to SEC, FINRA, and other regulatory bodies

• Proven track record of designing and implementing compliance programs and controls within a complex organization

• Excellent analytical and problem-solving skills with the ability to identify and mitigate compliance risks effectively

• Exceptional communication and interpersonal skills to effectively collaborate with stakeholders at all levels

• Ability to work independently and manage multiple priorities in a fast-paced, dynamic environment

• Strong attention to detail and organizational skills to ensure accurate reporting and documentation

• Demonstrated leadership qualities and ability to influence and inspire a culture of compliance

FINRA Requirements

FINRA licenses are preferred and may be supported for this role.

Work Flexibility

This role is eligible for full time remote work.

Regional Requirements:

Base salary range:

$166,500 - $284,000 USD for the locations of: Colorado and the State of Washington

$208,500 - $350,000 USD for the locations of: California and New York

Placement within the range provided above is based on the individual’s relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

This job posting is expected to be available until 10/1/2024.