Job Purpose:

  • While Compliance related, this role provides an opportunity to work within the Business and contribute to the first line controls mitigating the risks associated with all facets of the Global ETF Business
  • This role will work closely with the Sales, Marketing, and Product teams within the United States.

Your Responsibilities:

  • After review by Corporate Compliance, provide Supervisory Principal (SP) sign-off of sales literature and advertising for the ETF business
  • Liaise with Broker Dealer compliance to administer and maintain the licensing requirements and supervisory structure for the ETF business
  • Oversight of various due diligence requirements for third-party relationships of ETF Business
  • Act as subject matter expert to respond to inquiries from the ETF Business regarding corporate and regulatory policies and procedures
  • Assist with the implementation and administration of compliance-related procedures, and supervisory alerts; providing training to staff when necessary
  • Assist in the review, assessment and reporting of policy and procedure breaches and near-misses, coordinating, implementing and/or developing remediation, as appropriate
  • Help facilitate key projects from the initiation and planning stages through execution and completion
  • Identify potential, existing and emerging risks and assist the design and implementation of solutions for mitigating risks.

Skills and Qualifications:

  • BS or BA required
  • Series 63, 7, & 24 (24 required within 60 days)
  • Knowledge of Investment Company Act of 1940, as well as Mutual Funds/ETFs
  • Minimum 3-5 years of experience supporting the administering compliance/risk programs for SEC-registered investment companies and/or broker-dealers
  • Ability to handle multiple simultaneous tasks
  • Strong analytical thinking, problem solving, research, time management, and strong verbal and writing skills
  • Ability to work under pressure and within time sensitive deadlines
  • Capable of producing high quality and/or final work product and solutions under strict regulatory or management deadlines
  • Ability to take ownership and initiative, to negotiate, influence and build consensus and successfully navigate within a demanding environment of a leading global financial institution
  • Ability to collaborate with individuals across business units.

Source: for more information click here.

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