AVP of Fund Governance and Trust Compliance

1 day ago

Remote, Oregon, United States Tidal Financial Group Full time

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.

Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.

About the role

The AVP of Fund Governance and Trust Compliance will be part of the Tidal Investments Compliance and Fund Governance Department. This individual will work alongside the current Fund Governance Specialists and is expected to report to the VP of Fund Governance and Trust Compliance.

What you'll do

Collaborate with Trustees and Tidal Investments employees to:

  • Develop agendas for Trustee meetings
  • Prepare, compile, and distribute board meeting materials
  • Create periodic and annual compliance reports for Trustees, addressing SEC regulations applicable to registered investment funds (e.g., Rule 18f-4 for derivatives risk management, Rule 2a-5 for valuation, Rule 22e-4 for Liquidity Risk Management)
  • Draft minutes of Trustee meetings
  • Maintain annual meeting calendars
  • Prepare due diligence materials in response to Section 15(c) of the Investment Company Act of 1940 on behalf of investment advisers and sub-advisers
  • Assist in preparing memoranda on a broad range of regulatory and governance issues for Trustee review

Manage compliance diligence processes for sub-advisers of ETFs on the Tidal ETF trust platform:

  • Review key compliance documents of sub-advisers
  • Communicate directly with sub-advisers regarding their compliance programs
  • Conduct periodic testing of sub-adviser compliance controls and procedures
  • Prepare annual compliance reviews for each sub-adviser to the Trust
  • Contribute to fund governance efforts by preparing the annual Trust 38a-1 compliance review, reflecting diligence on sub-advisers and other service providers to the Trust

Qualifications

The successful candidate will have extensive demonstrable skills and experiences including the following:

  • Energetic self-starter with strong organizational skills, excellent communication and interpersonal skills (both verbal and written), and strong drafting/writing skills.
  • Ability to prioritize and work concurrently on a variety of projects.
  • The ability to work well independently and collaboratively, often within tight time constraints.
  • Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word. Proven ability to adapt to new software and processes.
  • 4-8 years of ETF, mutual Fund, 1940 Act and fund compliance and governance experience, ideally in a mutual fund/ETF, financial services, or law firm environment with exposure to securities matters is desired.
  • Knowledge of SEC rules and regulations applicable to mutual funds/ETFs is desired.
  • BA degree required.

Full time - Evenings may be required during peak periods.

We are prioritizing candidates who are located within proximity toChicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.

The pay range for this role is:

100, ,000 USD per year(USA)

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