Open Roles

Investment Guideline Compliance Associate

Remote (United States)

Sponsorship not specifiedDetected 7 days ago

AccountingResearchCommunicationMicrosoft OfficeCFA

About the role

Qualifications 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.

Proficiency in compliance systems, data reporting, and portfolio analytics tools.
Excellent communication skills with ability to explain complex compliance issues to stakeholders at all levels.

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs.
We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.
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.
Demonstrated capacity to work both independently and collaboratively under tight deadlines.
Strong computer proficiency, including advanced typing skills and deep familiarity with Microsoft Word

Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills.
Comfortable leveraging AI tools to streamline investment guideline compliance checks and exception documentation.

We are prioritizing candidates who are located within proximity to Chicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.

This listing is sourced directly from Open Roles's careers page and normalized into a canonical job model.