Senior Manager, Compliance
Core
Senior compliance leader ensuring regulatory risk management and program effectiveness for ProShares' ETF business units.
Role type
Senior Manager, Compliance
Builds
Compliance policies, procedures, and testing programs for registered investment advisers and ETFs
Domain
Financial Services / Investment Management / Securities Regulation
Required skills
Regulatory risk management, policy development, audit administration, stakeholder engagement, conflict of interest management, training delivery
Preferred skills
Acting as Deputy CCO, industry best practice benchmarking
Technologies
SEC, FINRA, CFTC regulatory frameworks, Investment Company Act of 1940, Investment Advisers Act of 1940
Responsibilities
Develop and implement compliance policies and procedures; Act as Compliance Officer in the absence of the Chief Compliance Officer; Proactively identify, manage and resolve compliance issues; Manage key compliance service relationships and interact with regulatory agencies; Administer a risk-based compliance testing program; Provide counsel and training for sales, marketing, and portfolio management staff.
Seniority
Senior Manager, hands-on leadership