Jobs and Careers

Senior Compliance Adviser

Remote (United States), United StatesRemotefull_timeVerifiedPosted 6 Aug 2024

About the role

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions. Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.

About the role

We are seeking an experienced and highly skilled Senior Compliance Officer to join our expanding compliance team. This pivotal role involves overseeing and managing compliance processes related to investment advisers in accordance with Rule 206(4)-7 under the Advisers Act. You will work closely with the Chief Compliance Officer (CCO) and other members of the firm’s compliance team.

What you'll do

· Regulatory Compliance: Ensure compliance with Rule 206(4)-7 of the Advisers Act, including Form ADV updates and related documentation.

· Personal Trading Management: Oversee the management of the personal trading portal for firm employees, ensuring adherence to internal policies and regulatory requirements.

· Annual Compliance Report: Prepare and maintain the annual compliance report, reflecting the firm's adherence to regulatory standards and internal policies.

· Regulatory Interaction: Act as a key liaison with regulators such as the SEC, NFA, and FINRA, addressing inquiries, audits, and compliance examinations.

· Marketing Literature: Supervise the marketing literature compliance team, ensuring that all promotional materials meet regulatory standards and firm policies.

· Project Management: Lead and participate in a variety of investment adviser compliance projects, including policy development, risk assessment, and implementation of best practices.

Qualifications

· Experience: 5-10 years of experience in a senior compliance role, either as a Chief Compliance Officer (CCO), Deputy Chief Compliance Officer (Deputy CCO), or in a senior position with a compliance consulting firm specializing in investment adviser compliance issues.

· Knowledge: In-depth understanding of Rule 206(4)-7 under the Advisers Act, investment adviser regulations, and compliance processes.

· Skills: Strong analytical and problem-solving skills, excellent written and verbal communication abilities, and proficiency in managing compliance systems and tools.