Deputy Chief Compliance Officer

Job Summary

To modernize a complex compliance ecosystem, the full-time Deputy Chief Compliance Officer will lead Tidal's compliance structure, integrating various compliance programs and leveraging technology to enhance surveillance and risk management while collaborating closely with senior leadership and fund boards.

Key responsibilities

• Oversee the Advisers Act compliance program, ensuring adherence to portfolio management, trading, and regulatory requirements
• Manage investment guideline compliance, including pretrade and posttrade monitoring and exception governance
• Lead the 1940 Act compliance program across multiple ETF trusts, focusing on program administration and risk-based testing

Required qualifications

• At least 12 years of progressive investment management compliance experience, including leadership of ETF and relevant compliance programs
• Proven ability to manage complex products and operating models, including options, swaps, and digital assets
• Experience in simplifying compliance functions and building scalable risk-reduction systems through data and automation
• Exceptional judgment and communication skills, with a history of advising senior leadership and fund boards
• Prior experience as a Deputy CCO or senior leader in a multi-series fund complex is strongly preferred