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Tidal Financial Group · 5 months ago

AVP of Fund Governance and Trust Compliance

United States

Full-time

Remote

Mid Level

4+ years exp

Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. The AVP of Fund Governance and Trust Compliance will collaborate with Trustees and Tidal Investments employees to manage compliance processes and prepare governance materials for investment funds.

Asset ManagementBusiness DevelopmentConsultingFinancial ServicesFinTechMarketing

Responsibilities

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

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

Qualification

ETF compliance experienceSEC regulationsDrafting skillsOrganizational skillsPrioritizeComputer skillsBA degreeCommunication skills

Required

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