Deputy Chief Compliance Officer
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Job Description
Deputy Chief Compliance Officer modernizing compliance across Tidal Financial Group’s ETF investment technology platform. Leading regulatory programs, risk remediation, broker-dealer infrastructure and technology-enabled controls.
Responsibilities:
- Lead day-to-day operations across Tidal's entire compliance structure
- Integrate investment company trust compliance, investment guideline compliance, investment adviser compliance and due diligence into one operating model
- Set standards, establish accountability, challenge the business, drive remediation and make risk visible before incidents occur
- Oversee enterprise-wide privacy, cybersecurity, conflicts, employee conduct, service provider oversight, regulatory change and compliance team leadership
- Leverage data, workflow automation and governed AI to improve surveillance, testing, evidence, issue management, regulatory change and board reporting
- Report to the Chief Compliance Officer and work with the General Counsel, senior management, fund boards, independent trustees and leaders across Tidal
- Lead the Rule 206(4)-7 compliance program and controls covering portfolio management, trading, best execution, conflicts, Codes of Ethics, Marketing Rule, disclosures, regulatory filings and books and records
- Oversee pretrade and posttrade monitoring, rule coding, data quality, exception governance and escalation for investment guidelines
- Lead Rule 38a-1 compliance across multiple ETF trusts, including program administration, annual reviews, risk-based testing, service provider oversight, board reporting and remediation of Material Compliance Matters
- Build a risk-tiered due diligence program for sponsors, advisers, subadvisers, portfolio managers, index providers and critical service providers
- Build compliance infrastructure for a captive broker-dealer incorporating Securities Exchange Act of 1934 and FINRA compliance
- Serve as senior escalation point and maintain a single view of material compliance risk, control failures, open issues and remediation
- Embed Compliance across the product lifecycle, including concept, registration statement filing, onboarding, launch and material change
- Provide enhanced scrutiny for derivatives, Rule 18f-4 compliance, leverage, custom baskets, commodity interests and digital asset related exposures
- Lead regulatory examination and inquiry readiness, response and remediation across the SEC, CFTC, NFA and other applicable regulators
- Build a technically strong, cross-trained compliance team while preserving Compliance's independence
- Exercise delegated authority to require remediation and, when delegated, pause onboarding, filings, launches, trades, marketing items or other activities with unresolved material requirements
Requirements:
- At least 12 years of progressive investment management compliance experience, including senior leadership of ETF, Rule 38a-1 and Rule 206(4)-7 programs
- Credibility with complex products and operating models, including options, swaps, futures, leverage, inverse strategies, commodity interests or digital asset related exposures
- Demonstrated record of taking control of a complex function, simplifying it and building scalable systems that measurably reduce risk
- Responsible use of data, automation and AI
- Exceptional judgment and communication, with confidence to advise a CEO and fund board, challenge senior leaders and make difficult calls
- Prior experience as a Deputy CCO, named CCO or senior leader in a multi-series fund complex, ETF platform or multi-manager environment is strongly preferred
- A relevant professional credential is a plus
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