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Deputy Chief Compliance Officer

Employer
ProShare Advisors LLC
Location
Bethesda, MD
Closing date
Sep 26, 2020

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Industry
Law
Function
Executive, QA Engineer, IT, Chief
Hours
Full Time
Career Level
Experienced (Non-Manager)
Position Summary: Reporting to the Chief Compliance Officer, the Senior Director, Compliance is the compliance partner to multiple business units and is responsible for ensuring that ProShares compliance programs appropriately address the regulatory risks relative to the firms business activities. As a Compliance leader, working within the Compliance function, the incumbent will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective programs. Essential Job Functions[1]: Actively engagewith the CCO to develop and implement compliance policies and procedures Act as Compliance Officer in the absence of the Chief Compliance Officer. Assist in directing Compliance function throughout the organization Proactively identify, manage and resolve compliance issues and determine the effectiveness of compliance controls Manage key compliance service relationships and interact on behalf of the company with regulatory agencies, SROs and service providers. Benchmark policies against industry best practices Act as internal and external subject matter expert on compliance matters for registered investment advisers, ETFs, mutual funds, CPOs and CTAs.Oversee compliance activities of, and manage relationships with, services providers Administer a risk based compliance testing program Monitor and interpret new regulatory requirements and related policies and procedures. Map compliance procedures to current regulatory and prospectus requirements Provide counsel and training to sales, marketing, strategy, and portfolio management staff Review prospectuses, applications, and advertising materials. Ensure potential conflict of interest are appropriately managed and disclosed. Other duties as assigned Education and Experience: BS or BA required, law degree strongly preferred Minimum 15 years of experience supporting thecompliance/risk programs for SEC-registered investment companies and/or broker-dealers 10+ years experience working with SEC, FINRA, CFTCand other securities agencies 10+ years experience writing and implementing policies and procedures 10+ years experience conducting audits Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related regulations Familiarity with broker-dealer Series 63, 7, & 24 licenses required Knowledge, Skills and Abilities: Ability to act as a Deputy in absence of Chief Compliance Officer Excellent analytical skills Excellent organizational skills Strong verbal and writing skills Ability to work independently on assigned tasks as well as to accept direction as needed ProShare Advisors LLC and its affiliates are equal opportunity employers and do not discriminate against qualified applicants on the basis of age, race, color, religion, creed, sex (including pregnancy, childbirth, or related medical conditions), marital or family status, national origin, ancestry, physical or mental disability, mental condition, veteran status, sexual orientation, gender identity, genetic information, or any other characteristic protected by applicable law.

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