iCapital · 4 hours ago
Chief Compliance Officer, ETFs - Senior Vice President
New York, New York, United States
Full-time
Hybrid
Senior Level, Lead/Staff
$180K/yr - $240K/yr
10+ years expiCapital is a financial services firm seeking an Exchange-Traded Funds (ETF) Chief Compliance Officer to oversee compliance for their ETF business. The role involves leading compliance programs, advising on regulatory developments, and ensuring adherence to SEC regulations related to ETFs.
Asset ManagementBankingFinancial ServicesFinTech
Responsibilities
Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution
Support trading oversight frameworks, including best execution governance and related compliance practices
Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues
Oversee and coordinate compliance reviews of third‑party service providers, including administrators, custodians, legal counsel, and auditors
Qualification
Required
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment
Detail oriented with the ability to assess and prioritize projects
FINRA Series 7 and 24 licenses are required
Preferred
Bachelor's degree, Law Degree or MBA is preferred
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations
Benefits
Equity for all full-time employees
Annual performance bonus
Employer matched retirement plan
Generously subsidized healthcare with 100% employer paid dental
Vision
Telemedicine
Virtual mental health counseling
Parental leave
Unlimited paid time off (PTO)
Company
iCapital
Innovating at the intersection of technology and investment opportunity, iCapital streamlines the integration of alternative investment strategies into client portfolios.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$1.55BKey Investors
Bank of AmericaTemasek HoldingsPing An Global Voyager
2025-07-10Private Equity· $820M
2022-06-23Corporate Round
2021-12-23Series Unknown· $50M
Leadership Team
Dan Vene
Co-Founder and Managing Partner
Nick Veronis
Managing Partner & Co-Founder
Recent News
Business Wire
2026-01-16
Business Wire
2026-01-15
2025-12-18
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