Chief Compliance Officer

Chief Compliance Officer — ETFs (SVP Level)

New York, NY (Hybrid)

A rapidly growing financial technology platform at the intersection of wealth management and alternative investments is seeking a senior compliance leader to oversee regulatory strategy and governance for its Exchange-Traded Fund (ETF) platform. This role will serve as the primary compliance authority supporting ETF investment advisers and related registered entities, partnering closely with senior leadership, product teams, and investment professionals.

This position offers the opportunity to shape compliance infrastructure within a highly innovative and fast-scaling environment supporting sophisticated investment solutions across public and private markets.

Key Responsibilities

• Lead and oversee compliance programs supporting ETF investment advisers and related registered entities
• Maintain deep expertise in regulatory frameworks governing ETFs and registered investment advisers
• Design, implement, and enhance compliance programs under applicable Investment Advisers Act and Investment Company Act rules
• Monitor regulatory developments impacting ETFs, including derivatives, liquidity, valuation, and related rule making
• Provide strategic compliance guidance to Product, Portfolio Management, Operations, and senior stakeholders
• Support ETF launches and product lifecycle initiatives from structuring through post-launch oversight
• Translate regulatory requirements into scalable policies, procedures, and internal controls
• Oversee ETF-specific compliance obligations including disclosures, reporting, and regulatory filings
• Conduct pre- and post-trade compliance monitoring and portfolio guideline testing
• Lead compliance testing, reporting, and remediation tracking efforts
• Coordinate compliance oversight of third-party service providers including administrators, custodians, auditors, and external counsel
• Mentor and develop junior compliance professionals

Qualifications

• 10–15+ years of compliance experience within financial services
• Strong knowledge of U.S. securities regulations, including the Investment Company Act of 1940 and Investment Advisers Act of 1940
• Experience building or administering compliance programs under Rule 38a-1 and Rule 206(4)-7
• Familiarity with SEC, FINRA, NFA, and CFTC regulatory frameworks and examinations
• Experience advising on regulatory risk and mapping controls across business functions
• Prior exposure to broker-dealer environments and ETF structures strongly preferred
• Demonstrated leadership and team development experience
• Ability to operate effectively in a fast-paced, evolving environment
• Strong organizational skills with the ability to prioritize complex initiatives
• FINRA Series 7 and 24 licenses required
• Bachelor’s degree required; JD or MBA preferred