AVP of Investment Adviser Compliance

Tidal Financial Group

71d

About The Position

We are seeking an experienced and skilled Investment Adviser 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 VP, Investment Adviser Compliance, the Chief Compliance Officer, and other members of the firm’s compliance team.

Requirements

• Experience: 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.
• Knowledge: 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.
• 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.
• The ability to work well independently and collaboratively, often within tight time constraints.
• Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word. Proven ability to adapt to new software and processes.
• BA degree required.

Nice To Haves

• 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.
• Knowledge of SEC rules and regulations applicable to registered investment advisers is desired.

Responsibilities

• Personal Trading Management: Oversee the management of the personal trading portal for firm employees (ComplySci), ensuring adherence to internal policies and regulatory requirements.
• Employee Surveillance: Monitor the electronic communications of firm employees, ensuring firm employees’ adherence to internal policies and regulatory requirements as it relates to their electronic communications.
• Regulatory Filings: 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.
• Third Party Monitoring: 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.
• Compliance Testing: 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.
• Annual Compliance Report: 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.
• Project Management: 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 51-100 employees