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Senior Compliance Officer - ETFs

Company: VirtualVocations
Location: Fort Myers
Posted on: October 26, 2024

Job Description:

A company is looking for a Senior Compliance Officer specializing in ETFs and SMAs.
Key Responsibilities

Oversee and manage the investment adviser compliance program to ensure adherence to laws and regulations
Collaborate with departments to develop and maintain compliance policies and procedures
Assist in compliance training and liaise with regulatory authorities during examinations

Required Qualifications

Bachelor's degree in finance, business administration, law, or a related field
12+ years of compliance experience in the investment management or financial services industry
Experience with the Investment Company Act of 1940 and ETFs
Prior experience with Exchange-Traded Funds (ETFs) or separately managed account platforms (SMAs)
Strong knowledge of SEC, FINRA, and other regulatory bodies

Keywords: VirtualVocations, Captiva , Senior Compliance Officer - ETFs, Accounting, Auditing , Fort Myers, Florida

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