Senior Manager, Compliance

ProShares•Bethesda, MD

18h•$130,000 - $160,000•Hybrid

About The Position

Reporting to the Chief Compliance Officer, the Senior Manager, Compliance is the compliance partner to multiple business units and is responsible for ensuring that ProShares compliance programs appropriately address the regulatory risks relative to the firm’s business activities. As a Compliance leader, working within the Compliance function, the incumbent will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective programs.

Requirements

BS or BA required, JD strongly preferred
10+ years’ experience in compliance role for registered investment company
Familiarity with fund distribution, broker-dealer and investment advisor issues
10+ years’ experience working with SEC, FINRA, CFTC and other securities agencies
10+ years’ experience writing and implementing policies and procedures
10+ years’ experience conducting audits
Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related regulations
Series 63, 7, & 24 licenses required
Ability to act as a Deputy in absence of Chief Compliance Officer
Excellent analytical skills
Excellent organizational skills
Strong verbal and writing skills
Ability to work independently on assigned tasks as well as to accept direction as needed

Responsibilities

Actively engage with the CCO to develop and implement compliance policies and procedures
Act as Compliance Officer in the absence of the Chief Compliance Officer.
Assist in directing Compliance function throughout the organization
Proactively identify, manage and resolve compliance issues and determine the effectiveness of compliance controls
Manage key compliance service relationships and interact on behalf of the company with regulatory agencies, SROs and service providers. Benchmark policies against industry best practices
Act as internal and external subject matter expert on compliance matters for registered investment advisers, ETFs, mutual funds, CPOs and CTAs. Oversee compliance activities of, and manage relationships with, services providers
Administer a risk-based compliance testing program
Monitor and interpret new regulatory requirements and related policies and procedures. Map compliance procedures to current regulatory and prospectus requirements
Provide counsel and training for sales, marketing, strategy, and portfolio management staff
Review prospectuses, applications, and advertising materials. Ensure potential conflict of interest is appropriately managed and disclosed.
Other duties as assigned

Benefits

Competitive pay and discretionary bonus
Paid time off
Health care benefits (medical, dental & vision)
Additional insurance includes basic life, accidental death and dismemberment, supplemental life, disability and legal benefit
401(k) retirement plan with matching contribution
Spending Accounts (Health Care, Dependent Care, and Transportation)
Wellness Programs (fitness reimbursement, Employee Assistance Program)
Education assistance
Hybrid work schedule
Additional Programs include peer recognition, corporate matching gift