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Senior Director, Compliance

Company: ProShares
Location: Bethesda
Posted on: April 4, 2021

Job Description:

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 firm's 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.-- Position Requirements Essential Job Functions[1]:

  • Actively engage with 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 assignedEducation and Experience:
    • BS or BA required, law degree strongly preferred
    • Minimum 15 years of experience supporting the--compliance/risk programs for SEC-registered investment companies and/or broker-dealers
    • 10+ years experience working with SEC, FINRA, CFTC and 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 requiredKnowledge, 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 Location Bethesda, MD (Corporate) EOE Statement ProShare Advisors LLC and its affiliates are equal opportunity employers and do not discriminate against otherwise 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. This position is currently accepting applications. Vice President, Financial Adminstration in Bethesda, MD
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Keywords: ProShares, Bethesda , Senior Director, Compliance, Executive , Bethesda, Maryland

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