Leads investment and trading compliance for ETFs by translating prospectus and SAI investment restrictions into Bloomberg AIM rules, monitoring pre- and post-trade exceptions, identifying violations, and collaborating with trading, investment management, and compliance teams. The role also supports compliance with the Investment Company Act, Internal Revenue Code, SEC regulations, and enhancements to trade monitoring systems and processes.
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 primary responsibility of the VP, Investment and Trading Compliance is to join the compliance team that handles the establishment of controls in Bloomberg AIM to ensure adherence to investment limits and restrictions included in ETF disclosure documents for ETFs sponsored by Tidal Investments. The scope of this role will span the full lifecycle of the trading compliance process—from the implementation of investment policies in fund disclosure documents into the Bloomberg AIM system through to pre- and post-trade compliance monitoring. A critical aspect will be the pre-trade compliance review and Bloomberg AIM system rules / validations.
What you'll do
- Review fund prospectuses and Statements of Additional Information (SAIs) to develop compliance rules within Bloomberg AIM and internal order management systems.
- Monitor and test daily trade order management exception reports to ensure adherence to investment guidelines.
- Identify and communicate compliance violations to the trading and investment management teams in a timely manner.
- Collaborate across departments to maintain compliance with the Investment Company Act, Internal Revenue Code, and other applicable laws and regulations.
- Support the ongoing enhancement of internal compliance systems and processes related to trade monitoring and rule implementation.
Qualifications
- Bachelor's degree required.
- Five to 10 years of direct experience in a comparable role at an investment management firm.
- Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills.
- Proven ability to manage and prioritize multiple projects simultaneously.
- Demonstrated capacity to work both independently and collaboratively under tight deadlines.
- Strong computer proficiency, including advanced typing skills and deep familiarity with Microsoft Word; ability to quickly learn and adapt to new software and processes.
- Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred.
We are prioritizing candidates who are located within proximity to Chicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.
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