Innovator ETFs
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INNOVATOR CAREERS
Senior Compliance Officer
Job details
Job Type
Full-time
Number of hires for this role
1
Job Location
Wheaton, IL
Qualifications
  • Bachelor's (Required)
  • US work authorization (Required)
Job Purpose
  • The person will focus on the firm’s compliance program supporting the advisory side of the business, including its advertising and sales-related activities.
Responsibilities
  • Oversight and administration of the compliance program, including a focus on sales and marketing activities related to the ETFs
  • Compliance review of marketing materials and firm communications
  • Targeted reviews in connection with the specific ETF compliance requirements, including web and document disclosures, and other regulatory and compliance requirements of the firm
  • Support Code of Ethics monitoring and reporting
  • Policy review and drafting in connection with Innovator’s compliance policies and procedures
  • Assist with other compliance program activities, including presentations, new hire on-boarding, ongoing compliance training, implementation of new rules/regulations and supporting new firm compliance initiatives
  • Remain knowledgeable of the current regulatory environment for investment managers and registered funds, including staying abreast of new changes and trends impacting the firm, and for ways to prepare the firm to face such changes
  • Manage and support all regulatory and sweep examinations and support the coordination of related regulatory filings
  • Support the periodic compliance reviews and testing of the compliance programs, including the annual review under Rule 206(4)-7 of the RIA and under Rule 38a-1 for the funds’ compliance program
  • Other compliance-related tasks/projects as requested
Requirements
  • Bachelor’s Degree required
  • 7+ years of regulatory compliance experience required, working in compliance programs which have supported a registered investment adviser managing and marketing 1940 Act registered funds
  • Experience with ETFs a plus
  • FINRA licensing is preferred, but not required
  • Knowledge about FINRA marketing rules required, and the Investment Advisers Act, Investment Company Act of 1940, and Securities Act of 1933 preferred
  • Knowledge and experience with industry best practices in compliance policies, training and program management
  • Ability to work in a fast-paced, dynamic environment with multiple stakeholders and partners
  • Highest level of dependability, organization, attention to detail, with strong oral, written and interpersonal communication skills
  • Ability to read and comprehend complex financial and regulatory information, including occasional legal documentation
  • Ability to meet deadlines, work independently and manage multiple tasks with potential shifting priorities
  • Creative thinking and solution-driven, self-starter who works well independently and with teams
  • Proficient user of Microsoft Excel, Word, Outlook and PowerPoint
  • Ability with training to learn and navigate efficiently new software, portals, or web applications used by Innovator (e.g., MyComplianceOffice, regulatory sites, data feeds or service provider portals)
Benefits:
  • 401(k)
  • 401(k) matching
  • Health insurance
  • Paid time off
Interested in applying for this job?
Send an email to careers@innovatoretfs.com with your resume and cover letter to apply now!