From ProShares's posting. “We” and “our” refer to the employer.
About Us:
ProShares now offers one of the largest lineups of ETFs, with over $100 billion in assets. The company is a leader in strategies such as crypto, dividend growth, interest rate hedged bond and geared (leveraged and inverse) ETF investing. ProShares continues to innovate with products that provide strategic and tactical opportunities for investors to manage risk and enhance returns.
Position Summary:
Reporting to the Chief Compliance Officer, the Senior Manager, Compliance is the compliance partner to multiple business units and is responsible for ensuring that ProShares compliance programs appropriately address the regulatory risks relative to the firm’s business activities. As a Compliance leader, working within the Compliance function, the incumbent will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective programs.
Essential Job Functions
[1]:
Actively engage with the CCO to develop and implement compliance policies and procedures
Act as Compliance Officer in the absence of the Chief Compliance Officer.
Assist in directing Compliance function throughout the organization
Proactively identify, manage and resolve compliance issues and determine the effectiveness of compliance controls
Manage key compliance service relationships and interact on behalf of the company with regulatory agencies, SROs and service providers. Benchmark policies against industry best practices
Act as internal and external subject matter expert on compliance matters for registered investment advisers, ETFs, mutual funds, CPOs and CTAs. Oversee compliance activities of, and manage relationships with, services providers
Administer a risk-based compliance testing program
Monitor and interpret new regulatory requirements and related policies and procedures. Map compliance procedures to current regulatory and prospectus requirements
Provide counsel and training for sales, marketing, strategy, and portfolio management staff
Review prospectuses, applications, and advertising materials. Ensure potential conflict of interest is appropriately managed and disclosed.
Other duties as assigned
Education and Experience:
BS or BA required, JD strongly preferred
5+ years’ experience in compliance role for registered investment company
Familiarity with fund distribution, broker-dealer and investment advisor issues
5+ years’ experience working with SEC, FINRA, CFTC and other securities agencies
5+ years’ experience writing and implementing policies and procedures
5+ years’ experience conducting audits
Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related regulations
Series 63, 7, & 24 licenses required
Knowledge, Skills and Abilities:
Ability to act as a Deputy in absence of Chief Compliance Officer
Excellent analytical skills
Excellent organizational skills
Strong verbal and writing skills
Ability to work independently on assigned tasks as well as to accept direction as needed
The compensation for this position includes salary and incentive pay. The annual base salary range for this role is $100,000-$140,000 (USD), which does not include discretionary bonus compensation. Total compensation may vary based on experience, role, location, department, and individual performance.
Our Benefits:
Competitive pay and discretionary bonus
Paid time off
Health care benefits (medical, dental & vision)
Additional insurance includes basic life, accidental death and dismemberment, supplemental life, disability and legal benefit
401(k) retirement plan with matching contribution
Spending Accounts (Health Care, Dependent Care, and Transportation)
Additional Programs include peer recognition, corporate matching gift
[1]
These statements are intended to describe the general nature and level of work involved for this job. It is not an exhaustive list of all responsibilities, duties and skills required of this job. To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Additional privacy information for CA residents
EOE STATEMENT
ProShare Advisors LLC and its affiliates are equal opportunity employers and do not discriminate against otherwise qualified applicants on the basis of age, race, color, religion, creed, sex (including pregnancy, childbirth, or related medical conditions), marital or family status, national origin, ancestry, physical or mental disability, mental condition, veteran status, sexual orientation, gender identity, genetic information, or any other characteristic protected by applicable law.
About this listing
LAYIQ is an independent job-discovery service. This listing does not imply a partnership with or endorsement by the employer. Review the original posting for current details and availability.
