Attorney in New York City, NY

Location New York City, NY, United States



Min 3 yrs required

May 13, 2022


Associate, ETF Compliance
Responsibilities: Assist in the development of a compliance program for the Firm ETFs (index and active). Draft, review, and/or implement policies, procedures, and processes to help ensure compliance with applicable regulatory requirements and industry practices. Review and test control processes designed to ensure compliance with regulatory requirements, including the ETF Rule. Collaborate on new fund launches and enhancements. Develop and/or execute periodic testing and oversight of fund compliance.

Qualification and Experience

Qualifications: Bachelor’s Degree required; law degree or MBA welcome. 3+ years of relevant experience with the U.S. registered funds, with a preference for experience working on ETFs. Experience with the Investment Company Act of 1940 is preferred. Strong organizational skills and ability to manage multiple time-sensitive matters in a demanding, fast-paced, and fluid environment. Business and solution-oriented approach to interacting and working with clients. Exceptional analytical, written, and oral communication and relationship-building skills are required, as is a proven track record working as a member of a team.

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