Tidal Financial Group · 3 months ago
AVP of Investment Adviser Compliance
United States
Full-time
Remote
Mid, Senior Level
5+ years expTidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. They are seeking an experienced Investment Adviser Compliance Officer to oversee and manage compliance processes related to investment advisers, ensuring adherence to regulatory requirements and internal policies.
Asset ManagementBusiness DevelopmentConsultingFinancial ServicesFinTechMarketing
Responsibilities
Oversee the management of the personal trading portal for firm employees (ComplySci), ensuring adherence to internal policies and regulatory requirements
Monitor the electronic communications of firm employees, ensuring firm employees’ adherence to internal policies and regulatory requirements as it relates to their electronic communications
Assist the VP of Compliance and CCO with the preparation and filing of required reports, such as Form ADV, Form 13F, Form 13H, Form 13G
Work with the marketing literature compliance team in monitoring the product advertising carried out by third-party sub-advisers and/or sponsors to the firm’s ETFs
Assist the VP of Compliance and CCO with testing of the firm’s written policies and procedures, and the firm’s compliance with its written policies and procedures
Assist the VP of Compliance and CCO with the preparation and maintenance of the firm’s annual compliance report, reflecting the firm's adherence to regulatory standards and internal policies
Assist the VP of Compliance and CCO in a variety of investment adviser compliance projects, including policy development, risk assessment, and implementation of best practices
Qualification
Required
At least 5 years of experience in a compliance role focusing on investment adviser compliance in an investment management firm, compliance consulting firm, or law firm
Understanding of Rule 206(4)-7 under the Advisers Act, investment adviser regulations, and compliance processes
Strong analytical and problem-solving skills, excellent written and verbal communication abilities, and proficiency in managing compliance systems and tools
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
BA degree required
Preferred
At least 5 years of ETF, mutual Fund, Investment Advisers Act 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 registered investment advisers is desired
Company
Tidal Financial Group
Tidal Financial Group (Tidal) is a leading ETF investment and technology platform facilitating the creation, operation and growth of ETFs.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$32MKey Investors
Insignia Capital GroupFTV Capital
2025-09-03Private Equity
2022-10-06Private Equity· $32M
2019-01-01Series Unknown
Leadership Team
Eric Falkeis
Co-Founder and Chief Executive Officer
Guillermo Trias
CEO & Co-Founder at Tidal Financial Group | ETFs (Exchange Traded Funds)
Recent News
2026-01-03
2025-12-03
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