Chief Compliance Officer

ETF Chief Compliance Officer — Head of ETF Compliance Role summary

Lead compliance for an exchange‑traded fund (ETF) platform and the registered investment advisers and commodity pools that support those products. Own the design, implementation, and ongoing administration of compliance programs for SEC‑registered ETFs and their advisers, as well as NFA/CFTC‑registered commodity pools and related entities. Provide senior compliance counsel on product structuring, regulatory risk, and operational controls across the ETF lifecycle.

• Maintain deep, current knowledge of U.S. securities and derivatives rules applicable to ETFs and investment advisers, including the Investment Company Act and the Investment Advisers Act.
• Monitor regulatory developments affecting ETFs (derivatives, valuation, liquidity, disclosure, and rule making) and translate those developments into actionable program changes.
• Design, implement, and maintain compliance frameworks and controls under Rule 206(4)‑7 and Rule 38a‑1 for registered funds, advisers, and commodity pool operators.
• Provide compliance leadership for ETF product initiatives from concept through launch and post‑launch oversight, identifying regulatory risks and practical mitigations.
• Advise Product, Portfolio Management, Operations, Legal, and other stakeholders on ETF structuring, trading/operational workflows, investment strategies, and disclosure obligations.
• Convert regulatory requirements and fund governing documents into scalable policies, procedures, monitoring programs, and compliance controls.
• Oversee ETF‑specific obligations such as disclosure monitoring, premium/discount surveillance, and regulatory filings.
• Implement pre‑ and post‑trade monitoring, portfolio guideline testing, trade surveillance, and issue remediation processes.
• Support trading oversight and best‑execution governance as it relates to ETF activity.
• Lead compliance testing, reporting, remediation tracking, and root‑cause analysis to ensure timely resolution of findings.
• Manage compliance reviews and oversight of third‑party service providers, including administrators, custodians, auditors, and outside counsel.
• Prepare for and lead regulatory examinations and respond to inquiries from SEC, FINRA, NFA, CFTC, or other regulators.

• Bachelor’s degree; advanced degree (JD, MBA) preferred.
• 10–15+ years of compliance experience in financial services with substantial ETF, derivatives, and alternatives exposure.
• Demonstrated expertise with U.S. securities laws and rules, including the Investment Company Act, Investment Advisers Act, Securities Act, and Exchange Act.
• Proven experience building and operating compliance programs for investment companies, registered advisers, and commodity pools.
• Hands‑on experience with Rule 38a‑1 and Rule 206(4)‑7 program design and testing.
• Track record managing regulatory examinations, investigations, or significant regulator interactions.
• Strong ability to assess regulatory risk, map controls, and design remediation plans.
• Experience working with broker‑dealers, trading desks, and alternative product structures; familiarity with FINRA rules a plus.
• Excellent leadership, mentoring, and team‑development skills.
• High attention to detail, strong project management skills, and ability to operate in a fast‑paced environment.
• FINRA Series 7 and Series 24 licenses required.

• A robust, scalable compliance program that supports product innovation while minimizing regulatory risk.
• Smooth, well‑documented ETF launches and product changes with timely filings and effective post‑launch controls.
• Clear, actionable compliance guidance integrated into product design, trading, and operations.
• Strong regulator relationships and a track record of efficient, well‑organized examination responses.