Responsibilities
- Manage end-to-end SEC filing processes for all ETF trusts, including N-1A, 485A, 485(b), N-PORT, N-CEN, proxy filings, and annual disclosures.
- Prepare, analyze, and revise prospectuses and Statements of Additional Information for new fund introductions and ongoing updates.
- Lead responses to inquiries and comments from the SEC on regulatory submissions.
- Support investment adviser compliance efforts, including Form ADV filings, ethics codes, compliance manuals, annual reviews, and regulatory audits.
- Organize and prepare materials for board and trustee meetings, including agendas, resolutions, written consents, Section 15(c) evaluations, and governance records.
- Draft, evaluate, and negotiate contracts with service providers such as custodians, administrators, distributors, index licensors, sub-advisers, and derivatives counterparties.
- Prepare applications for exemptive relief and requests for no-action letters from regulatory agencies.
- Evaluate marketing content and investor communications to ensure compliance with the Investment Company Act and Advisers Act.
- Collaborate with external legal counsel and the outsourced chief compliance officer to coordinate legal and compliance operations.
- Track and assess evolving regulations impacting registered investment funds and advisory firms.
Benefits
- Equity Options
Compensation
$175,000-$250,000 | Equity Options
Work Arrangement
Remote — Chicago
Other
- Compensation range: $175,000-$250,000 | Equity Options
- Backed by Y Combinator with $268M raised
- 34 live ETFs across 4 trusts, 90+ more in the pipeline
- Growing insurance operation spanning RRGs, captives, and an admitted carrier
Not specified
