President – Head of Distribution Services

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🔥 0 minutes ago

🇺🇸 United States – Remote

⏰ Full Time

🔴 Lead

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Tidal Financial Group

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2012

💼 Consulting

📣 Marketing

💸 Finance

Consulting • Marketing • Finance

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.

📋 Description

• Lead Tidal ETF Distributors LLC, the statutory underwriter and distributor primarily for ETFs • Own the regulatory launch and guide TED's FINRA New Membership Application through approval • Establish governance, controls, reporting, books and records, insurance coverage, and decision-making structures for the broker-dealer • Serve as, or directly oversee, a FINRA registered principal and maintain regulatory readiness • Lead the phased transition of statutory distribution from the incumbent provider, including contractual notices, fund board approvals, client communications, authorized participant relationships, and implementation sequencing • Partner with fund boards, outside counsel, Client Success, Fund Operations, and internal teams throughout the transition • Develop and maintain Authorized Participant agreements and related infrastructure • Lead the transition and ongoing operation of FINRA Rule 2210 marketing compliance review • Build the review team, compliance technology platform, quality standards, and turnaround expectations • Analyze submission volume, utilization, quality, and service data to anticipate staffing and workflow needs • Set pricing and own TED's P&L, including revenue, cost management, net capital compliance, forecasting, and reporting to the CFO and executive leadership • Evaluate future opportunities to offer distribution and marketing compliance services to external ETF issuers • Create and execute TED's staffing plan, including hiring and developing registered leadership • Manage the Chief Compliance Officer, Financial and Operations Principal, outsourced partners, and other critical relationships • Collaborate across legal, compliance, finance, fund operations, technology, relationship management, and executive leadership

🎯 Requirements

• 15 or more years of experience in broker-dealer operations, fund distribution, asset management, or a closely related area, including direct experience with FINRA-registered entities • Direct experience with the statutory underwriter or distributor function for registered investment companies, including ETFs or mutual funds, or experience leading a comparable distribution or compliance service provider • Experience managing FINRA membership applications or examinations is required • Hold the requisite licenses: SIE + Series 7 + Series 24 + Series 63; or SIE + Series 6 + Series 26 + Series 63 • Demonstrated success building, launching, or scaling a regulated financial-services entity or function, with supervisory and principal registrations held or readily obtainable • Track record leading complex, multi-stakeholder transitions involving contractual notice periods, fund board or governance approvals, and client communications • Experience owning a business vertical P&L and making pricing, investment, staffing, and vendor decisions tied to business performance • Strong working knowledge of broker-dealer controls, net capital requirements, compliance governance, and books and records obligations • Ability to explain regulatory, financial, and operational complexity clearly to fund boards, executives, clients, and cross-functional partners • Prior experience with a white-label ETF platform, ETF servicing provider, fund administrator, or similar organization preferred • Experience managing compliance functions, including Chief Compliance Officer or Financial and Operations Principal relationships, and compliance technology vendors preferred • Experience bringing a previously outsourced regulated service or operating function in-house preferred • Additional supervisory and principal securities licensing history, such as Series 27 or 28, or equivalent registrations preferred