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 ETF Marketing Literature Review Specialist is expected to be an Analyst role located in the Tidal Investments Compliance and Fund Governance Department. This employee will work alongside the current ETF Marketing Literature Review Specialists. The position is expected to report into the VP of Investment Adviser Compliance.

What you'll do

1. Review proposed ETF marketing literature against FINRA Rule 2210 (Communications with the Public) and coordinate the review of ETF marketing literature with Foreside Fund Services, an outside firm that serves as principal underwriter of ETFs on the Tidal ETF trusts.

2. Work directly with new sub-adviser clients to train them in the compliance requirements that apply to ETF marketing literature at the start of the relationship with Tidal. This will expand to working with sub-adviser clients on an ongoing basis after an ETF is launched.

3. Work directly with Foreside Fund Services, principal underwriter of the Tidal ETFs, which reviews ETF marketing literature. This will involve frequent communication with Foreside representatives on compliance issues related to specific pieces of marketing literature during the review process. It will also involve communicating comments from Foreside to sub-adviser clients on specific pieces of marketing literature.

Qualifications

· Substantive experience in reviewing registered funds marketing literature in accordance with FINRA regulation, including working for or interacting directly with a firm such as Foreside or ALPS.

· 3-5 years of relevant experience working in an investment management firm, broker-dealer, law firm, or compliance consulting firm on marketing literature compliance issues, including knowledge of FINRA regulation that applies to marketing literature.

· 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.

· BA degree required.

Full time - evenings may be required during peak periods.