ETF and 1940 Act Registered Funds Compliance Officer - Assistant Vice President

What you’d do

Support compliance programs for ETFs, Alternative Investments Fund-of-Funds, and 1940 Act Registered Funds. Assist with regulatory compliance, governance framework, and monitoring fund compliance. Requires a bachelor's degree and 6+ years in financial services compliance. Found on the employer's careers page on Oct 22, 2026. Apply through the link.

You’ll need

• Bachelor's degree
• 6+ years compliance experience in financial services
• Experience with ETFs, derivatives, alternative investments
• Knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940
• Experience with NFA or CFTC compliance programs