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Implement investment policy controls in Bloomberg AIM and manage the full trading compliance lifecycle for ETFs, including pre- and post-trade monitoring, exception documentation, issue identification, and stakeholder communication. Support portfolio oversight, use compliance systems and analytics tools, and streamline processes with AI tools while ensuring adherence to ETF disclosure documents and regulatory requirements.
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.
Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.
About the role
The primary responsibility of the Associate, Portfolio Compliance & Review Specialist, is to join the compliance team that handles the establishment of controls in Bloomberg AIM to ensure adherence to investment limits and restrictions included in ETF disclosure documents for ETFs sponsored by Tidal Investments. The scope of this role will span the full lifecycle of the trading compliance process—from the implementation of investment policies in fund disclosure documents into the Bloomberg AIM system through to pre- and post-trade compliance monitoring.
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.
- 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.
- Energetic self-starter with excellent organizational, communication (verbal and written), interpersonal, and drafting skills.
- Proven ability to manage and prioritize multiple projects simultaneously.
- Demonstrated capacity to work both independently and collaboratively under tight deadlines.
- Strong computer proficiency, including advanced typing skills and deep familiarity with Microsoft Word; ability to quickly learn and adapt to new software and processes.
- Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred.
- Series licenses and/or CFA designation strongly preferred.
- Proficiency in compliance systems, data reporting, and portfolio analytics tools.
- Comfortable leveraging AI tools to streamline investment guideline compliance checks and exception documentation.
- Excellent communication skills with ability to explain complex compliance issues to stakeholders at all levels.
- Meticulous attention to detail while maintaining a big-picture perspective.
We are prioritizing candidates who are located within proximity to Chicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.
What you need to know about the Seattle Tech Scene
Home to tech titans like Microsoft and Amazon, Seattle punches far above its weight in innovation. But its surrounding mountains, sprinkled with world-famous hiking trails and climbing routes, make the city a destination for outdoorsy types as well. Established as a logging town before shifting to shipbuilding and logistics, the Emerald City is now known for its contributions to aerospace, software, biotech and cloud computing. And its status as a thriving tech ecosystem is attracting out-of-town companies looking to establish new tech and engineering hubs.
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