Investment Guideline Compliance Associate
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Job Description
Compliance Associate managing controls in Bloomberg AIM to ensure ETF investment guidelines adherence. Overseeing full lifecycle of trading compliance process at Tidal Financial Group.
Responsibilities:
- 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.
Requirements:
- Five or more years of direct experience in a comparable role handling investment guideline compliance matters at an investment management firm involving ETF compliance, portfolio management oversight, or investment operations.
- Bachelor’s degree in finance, economics, accounting, or related field required; advanced degree, or JD preferred.
- Knowledge of ETF regulatory framework.
- Asset class knowledge (equities, fixed income, derivatives, alternatives, structured products, etc.).
- Experience in identifying compliance and portfolio management issues in complex investment strategies.
- 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.
- Series licenses and/or CFA designation strongly preferred.
- Proficiency in compliance systems, data reporting, and portfolio analytics tools.
- Comfortable leveraging AI tools to streamline investment guideline compliance checks and exception documentation.
- Excellent communication skills with ability to explain complex compliance issues to stakeholders at all levels.
- Meticulous attention to detail while maintaining a big-picture perspective.
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