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 Fund Governance Specialist is expected to be an AVP role located in the Tidal Investments Compliance and Fund Governance Department. This employee will work alongside the current Fund Governance specialists. The position is expected to the Chief Compliance Officer.

What you'll do

1. Working with Trustees and employees of Tidal Investments to develop agendas for Trustee meetings; preparing, compiling, and disseminating board meeting materials; working with Tidal employees on the creation of periodic and annual reports for the Trustees of the Trust to address compliance matters under SEC rules that apply to registered investment funds (e.g. derivatives risk management under Rule 18f-4, valuation matters under Rule 2a-5, and Liquidity Risk Management under Rule 22e-4); drafting minutes of Trustee meetings; preparing meeting calendars; preparing due diligence materials responsive to Section 15(c) of the Investment Company Act of 1940 on behalf of the investment adviser and sub-advisers; and assisting in the preparation of memoranda on a wide range of regulatory and governance matters for Trustee meetings.

2. Handling the compliance diligence process of sub-advisers of ETFs on the Tidal ETF trust platform. This includes reviewing key compliance documents of sub-advisers, communicating directly with sub-advisers on their compliance programs, periodically testing the integrity of sub-adviser compliance processes and controls, and preparing annual compliance reviews for each sub-adviser to the Trust. Additional fund governance responsibilities will include preparing the annual Trust 38a-1 compliance review reflecting the diligence process of sub-advisers and other service providers to the Trust.

Qualifications

The successful candidate will have extensive demonstrable skills and experiences including the following:

· Energetic self-starter with strong organizational skills, excellent communication and interpersonal skills (both verbal and written), and strong drafting/writing skills.

· Ability to prioritize and work concurrently on a variety of projects.

· The ability to work well independently and collaboratively, often within tight time constraints.

· Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word. Proven ability to adapt to new software and processes.

· 4-8 years of ETF, mutual Fund, 1940 Act and fund compliance and governance experience, ideally in a mutual fund/ETF, financial services, or law firm environment with exposure to securities matters is desired.

· Knowledge of SEC rules and regulations applicable to mutual funds/ETFs is desired.

· BA degree required.

Full time - Evenings may be required during peak periods.