Compliance Analyst -ETF's/RIA
Job Description
Position Overview
NEOS is seeking to hire an Associate to assist the Chief Compliance Officer in administering and enhancing NEOS’s compliance program. The role works closely with the Chief Compliance Officer of the firm and the funds, focusing on registered funds and a registered investment adviser. Responsibilities include assisting with policies and procedures, implementing testing programs, reviewing marketing materials, and overseeing regulatory reporting.
About NEOS: NEOS Investments is a global asset manager that uses quantitative approaches to deliver yield enhancement and risk mitigation investment solutions. Built on decades of research and experience, NEOS empowers investors of all sizes with solutions that provide high income, tax efficiency, and diversification through data-driven, options-based ETFs.
Key Responsibilities
- Review registered fund client communications and quarterly reporting.
- Perform registered fund compliance testing and monitoring.
- Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
- Conduct company-wide training to meet both SEC and FINRA obligations.
- Facilitate periodic Fund Board materials preparation and Board reporting.
- Monitor industry-wide compliance initiatives and federal/state regulatory developments, analyzing their impact.
- Perform other duties as determined by the Chief Compliance Officer.
Required Qualifications
- Bachelor's degree in a related field.
- 2-4 years of compliance experience within an RIA managing ETFs or Mutual Funds, with experience in implementation and guideline monitoring.
- Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable FINRA rules.
- Experience in investment management, wealth management, or fintech industries with a solid understanding of compliance restrictions around registered products.
- Motivated to learn new topics and adapt in an evolving business environment.
Preferred Qualifications
- Experience with a Broker-Dealer compliance regime pertaining to registered representatives is preferred.
Benefits & Perks
- Base Salary Range: $75,000 to $100,000
- Discretionary Performance Bonus
- Comprehensive Benefits Package