Deputy Chief Compliance Officer

🕒 Setembro 1

🐊 Florida, Illinois, +2 estados a mais – Remoto

🐊 Florida – Remote 🌽 Illinois – Remote 🗽 New York – Remote 🧀 Wisconsin – Remote

⏰ Tempo Integral

🔴 Especialista

🚔 Conformidade

👻 Score fantasma 14%

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Tidal Financial Group

SiteLinkedInTodas as Vagas

51 - 200 funcionários

Fundada em 2012

💼 Consultoria

📣 Marketing

💸 Finanças

Consulting • Marketing • Finance

O Tidal Financial Group é uma plataforma líder em tecnologia e investimento em ETFs, facilitando a criação, operação e crescimento de ETFs. A Tidal combina expertise e abordagens inovadoras no design colaborativo de ETFs e outros produtos financeiros inovadores com seus parceiros. Como uma plataforma holística, a Tidal faz parcerias com a comunidade de investimentos para construir ETFs que buscam gerar valor. A Tidal é a parceira colaborativa de mais de cinquenta e cinco (55) ETFs líderes, gerenciando mais de US$ 6,5 bilhões em ativos em 28/10/2022. A Tidal possui uma equipe de mais de 40 pessoas e localizações em Nova York, Chicago, Milwaukee e Detroit.

Descrição

• Lead day-to-day operations across Tidal's entire compliance structure • Integrate investment company trust compliance, investment guideline compliance, investment adviser compliance and due diligence into one operating model • Set standards, establish accountability, challenge the business, drive remediation and make risk visible before incidents occur • Oversee enterprise-wide privacy, cybersecurity, conflicts, employee conduct, service provider oversight, regulatory change and compliance team leadership • Leverage data, workflow automation and governed AI to improve surveillance, testing, evidence, issue management, regulatory change and board reporting • Report to the Chief Compliance Officer and work with the General Counsel, senior management, fund boards, independent trustees and leaders across Tidal • Lead the Rule 206(4)-7 compliance program and controls covering portfolio management, trading, best execution, conflicts, Codes of Ethics, Marketing Rule, disclosures, regulatory filings and books and records • Oversee pretrade and posttrade monitoring, rule coding, data quality, exception governance and escalation for investment guidelines • Lead Rule 38a-1 compliance across multiple ETF trusts, including program administration, annual reviews, risk-based testing, service provider oversight, board reporting and remediation of Material Compliance Matters • Build a risk-tiered due diligence program for sponsors, advisers, subadvisers, portfolio managers, index providers and critical service providers • Build compliance infrastructure for a captive broker-dealer incorporating Securities Exchange Act of 1934 and FINRA compliance • Serve as senior escalation point and maintain a single view of material compliance risk, control failures, open issues and remediation • Embed Compliance across the product lifecycle, including concept, registration statement filing, onboarding, launch and material change • Provide enhanced scrutiny for derivatives, Rule 18f-4 compliance, leverage, custom baskets, commodity interests and digital asset related exposures • Lead regulatory examination and inquiry readiness, response and remediation across the SEC, CFTC, NFA and other applicable regulators • Build a technically strong, cross-trained compliance team while preserving Compliance's independence • Exercise delegated authority to require remediation and, when delegated, pause onboarding, filings, launches, trades, marketing items or other activities with unresolved material requirements

🎯 Requisitos

• At least 12 years of progressive investment management compliance experience, including senior leadership of ETF, Rule 38a-1 and Rule 206(4)-7 programs • Credibility with complex products and operating models, including options, swaps, futures, leverage, inverse strategies, commodity interests or digital asset related exposures • Demonstrated record of taking control of a complex function, simplifying it and building scalable systems that measurably reduce risk • Responsible use of data, automation and AI • Exceptional judgment and communication, with confidence to advise a CEO and fund board, challenge senior leaders and make difficult calls • Prior experience as a Deputy CCO, named CCO or senior leader in a multi-series fund complex, ETF platform or multi-manager environment is strongly preferred • A relevant professional credential is a plus