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
  • As a Senior Compliance Officer with Innovator, you’ll be responsible for administering the Marketing Material Review Oversight Program, assist in the development, implementation and ongoing administration of the compliance program and provide support to the Chief Compliance Officer of the Adviser. The successful candidate will have general compliance knowledge, strong analytical skills, be detailed oriented, highly organized, can prioritize and allocate projects and workflow as needed, and seek out and drive efficiencies in existing processes.
  • This is a full-time position reporting directly to the Chief Compliance Officer of the Adviser. The expectation for this role is in person at the Wheaton office.
Responsibilities
  • Manage the compliance aspects of Innovator’s marketing material oversight program, including the review of marketing materials, testing of marketing materials and liaising with the business on new marketing related initiatives
  • Perform targeted reviews in connection with the specific ETF compliance requirements, including web and document disclosure, and other regulatory and compliance requirements
  • Assist in the development and maintenance of compliance policies and procedures; address the impact of regulatory changes and implement the requirements necessary to the Firm
  • Support Code of Ethics monitoring and reporting
  • Provide assistance to the testing program and annual risk assessment
  • 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 projects
  • Provide support with the Firm’s responses and documentation requests to any regulatory exams or inquires
  • Other compliance-related tasks/projects as requested
Requirements
  • Bachelor’s Degree required
  • 7-10 years of regulatory compliance experience required, working in compliance programs which have supported a registered investment adviser
  • Experience required with reviewing advertising and marketing materials for registered investment adviser and/or registered broker-dealer
  • Knowledge and experience with ETFs a plus
  • Excellent understanding of the asset management industry as well as knowledge of securities laws that relate to investment advisers
  • Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
  • Committed to maintaining high ethical standards and a strong compliance culture
  • Self-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a team
  • Ability to multi-task effortlessly and manage competing priorities under deadlines
  • Well organized, detailed-oriented, and excellent oral and written communication skills
  • 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 czalesiak@innovatoretfs.com with your resume to apply now!
Innovator reserves the right to add to delete, change, or modify the essential duties and requirements at any time. Other tasks and responsibilities may be assigned to this position at Innovator’s discretion.
Innovator is an Equal Opportunity Employer, M/F/D/V