Job Purpose and Your Responsibilities:
- Monitoring trading activity to ensure compliance with Prospectus, SAI and other regulatory investment and contractual guidelines
- Interact closely with the ETF traders and portfolio managers to appropriately manage pre-trade alerts in the Order Management System
- Research, evaluate and document compliance issues and work with internal personnel and service providers to investigate and resolve such issues
- Conduct reviews of and prepare reports on the investment adviser brokerage practices, best execution, soft dollar usage and proxy voting
- Provide timely and accurate advice and guidance to traders and investment operations staff in response to compliance queries
- Perform Rule 206(4)-7 and Rule 38a-1 reviews and testing
- Prepare compliance reports for senior management and the Board of Trustees of the IndexIQ Funds
- Research, compile and draft responses to regulatory inquiries and examinations, and other special projects.
Skills and Qualifications:
- 5 plus years of Investment Adviser and Registered Fund compliance experience (preferably some or all of which is related to ETFs)
- Experience with order management systems (preferably Eze Castle) as it relates to pre-trade monitoring of client accounts and the set-up of new rules, accounts and securities in the order management system
- Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, capital markets and other relevant regulations applicable to ETFs and mutual funds is desirable.
- Proficiency in the complete MS Office suite is required, especially in Excel, Word and PowerPoint.
- Extremely diligent with strong attention to detail
- Good communication and analytical skills
- Ability to work independently and with others and meet critical deadlines
- Strong ethical commitment
- Willingness and ability to adjust to multiple demands, shifting priorities, and rapid change
- Bachelor’s degree
- Limited travel may be required.
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