VP of Investment Guideline Compliance

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🔥 0 minutes ago

🐊 Florida, Illinois, +2 more states – Remote

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

💵 $140k - $160k / year

⏰ Full Time

🔴 Lead

💸 Financial Planning and Analysis (FP&A)

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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

• Review fund prospectuses and Statements of Additional Information (SAIs) to develop compliance rules within Bloomberg AIM and internal order management systems • Monitor and test daily trade order management exception reports to ensure adherence to investment guidelines • Identify and communicate compliance violations to the trading and investment management teams in a timely manner • Collaborate across departments to maintain compliance with the Investment Company Act, Internal Revenue Code, and other applicable laws and regulations • Support the ongoing enhancement of internal compliance systems and processes related to trade monitoring and rule implementation

🎯 Requirements

• Bachelor's degree required • Five to 10 years of direct experience in a comparable role at an investment management firm • Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills • Proven ability to manage and prioritize multiple projects simultaneously • Demonstrated capacity to work both independently and collaboratively under tight deadlines • Strong computer proficiency, including advanced typing skills and deep familiarity with Microsoft Word; ability to quickly learn and adapt to new software and processes • Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred