Deputy Chief Compliance Officer

Tidal Financial Group

About The Position

Tidal Financial Group is a leading ETF investment and technology platform helping clients launch, manage, trade and grow ETFs. As of July 31, 2026, Tidal supports more than 440 ETFs for more than 110 issuers and sponsors, with more than $74 billion in assets under service. The platform spans the full ETF lifecycle and some of the industry's most innovative and complex strategies. We are looking for a builder, operator, and regulatory leader to become the Chief Compliance Officer's right hand and lead the next generation of compliance at Tidal. This is not a maintenance role. It is an opportunity to modernize a complex compliance ecosystem so it can move at the speed and scale of the business without compromising independence or investor protection.

Requirements

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.
A demonstrated record of taking control of a complex function, simplifying it and building scalable systems that measurably reduce risk, including the responsible use of data, automation and AI.
Exceptional judgment and communication, with the confidence to advise a CEO and fund board, challenge senior leaders and make difficult calls without becoming bureaucratic.

Nice To Haves

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.

Responsibilities

The Deputy Chief Compliance Officer will have day to day leadership across Tidal's entire compliance structure, integrating investment company trust compliance, investment guideline compliance, investment adviser compliance, and due diligence into one high-performing operating model.
The Deputy will set standards, establish accountability, challenge the business, drive remediation and make risk visible before it becomes an incident.
Tidal's Compliance function extends beyond the 1940 Act and Advisers Act to enterprise-wide privacy, cybersecurity, conflicts, employee conduct, service provider oversight, regulatory change, and compliance team leadership.
A central part of the mandate is to leverage technology - including data, workflow automation and thoughtfully governed AI to improve surveillance, testing, evidence, issue management, regulatory change and board reporting.
The Deputy reports to the Chief Compliance Officer and works closely with the General Counsel, senior management, fund boards, independent trustees, and leaders across Tidal.
Advisers Act compliance. Lead the Rule 206(4)-7 compliance program and related controls covering portfolio management, trading, best execution, conflicts of interest, Codes of Ethics, the Marketing Rule, disclosures, regulatory filings and books and records.
Investment guideline compliance. Oversee pretrade and posttrade monitoring, rule coding, data quality, exception governance and escalation across regulatory, tax, disclosure, board and internal investment restrictions.
1940 Act compliance. Lead the Rule 38a-1 compliance program across multiple ETF trusts, including program administration, annual reviews, risk-based testing, service provider oversight, board reporting and the identification, escalation and remediation of Material Compliance Matters.
Due diligence. Build a risk-tiered program for sponsors, advisers, subadvisers, portfolio managers, index providers and critical service providers, with clear risk ratings, conditions and ongoing monitoring.
Broker-dealer compliance, including building a compliance infrastructure for a captive broker-dealer incorporating Securities Exchange Act of 1934 and FINRA compliance, and maintaining compliance to meet the needs of the affiliated investment adviser and ETF Series Trusts.
Serve as the senior escalation point and maintain a single view of material compliance risk, recurring control failures, open issues and remediation.
Embed Compliance across the product lifecycle, from concept and registration statement filing through onboarding, launch and material change, with enhanced scrutiny for derivatives and 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 and partner constructively across Tidal while preserving Compliance's independence and challenge function.