Senior Compliance Officer - ETFs
Company: VirtualVocations
Location: Humble
Posted on: November 7, 2024
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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, Pasadena , Senior Compliance Officer - ETFs, Accounting, Auditing , Humble, Texas
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