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 proceduresAct as Compliance Officer in the absence of the Chief Compliance Officer.Assist in directing Compliance function throughout the organizationProactively identify, manage and resolve compliance issues and determine the effectiveness of compliance controlsManage key compliance service relationships and interact on behalf of the company with regulatory agencies, SROs and service providers.
Benchmark policies against industry best practicesAct 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 providersAdminister a risk-based compliance testing programMonitor and interpret new regulatory requirements and related policies and procedures. Map compliance procedures to current regulatory and prospectus requirementsProvide counsel and training for sales, marketing, strategy, and portfolio management staffReview prospectuses, applications, and advertising materials. Ensure potential conflict of interest is appropriately managed and disclosed.Other duties as assignedEducation and Experience:BS or BA required, JD strongly preferred5+ years’ experience in compliance role for registered investment companyFamiliarity with fund distribution, broker-dealer and investment advisor issues5+ years’ experience working with SEC, FINRA, CFTC and other securities agencies5+ years’ experience writing and implementing policies and procedures5+ years’ experience conducting auditsStrong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related regulationsSeries 63, 7, & 24 licenses requiredKnowledge, Skills and Abilities:Ability to act as a Deputy in absence of Chief Compliance OfficerExcellent analytical skillsExcellent organizational skillsStrong verbal and writing skillsAbility to work independently on assigned tasks as well as to accept direction as neededThe 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 bonusPaid time offHealth care benefits (medical, dental & vision)Additional insurance includes basic life, accidental death and dismemberment, supplemental life, disability and legal benefit401(k) retirement plan with matching contributionSpending Accounts (Health Care, Dependent Care, and Transportation)Wellness Programs (fitness reimbursement, Employee Assistance Program)Education assistanceHybrid work scheduleAdditional 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 residentsEOE STATEMENTProShare 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.
Senior Manager, Compliance in bethesda at Unknown Company
This position is listed as full time and hybrid.