AVP, Investment Adviser Compliance

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October 30

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Tidal Financial Group

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Finance • Fintech • Compliance

Tidal Financial Group is a leading ETF investment and technology platform that specializes in managing exchange-traded funds (ETFs). With over 193 funds and $30 billion in assets under management, Tidal partners with various issuers to help clients successfully launch, manage, and grow their ETFs. The company offers a full suite of services, including strategy planning, regulatory compliance, portfolio management, and marketing, positioning itself as a premier choice in the ETF industry.

51 - 200 employees

Founded 2012

💸 Finance

💳 Fintech

📋 Compliance

📋 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.

🎯 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.

🏖️ Benefits

• Professional development opportunities