Global X ETFs, the New York-based provider of Exchange Traded Funds and Great Place to Work® Certified company is seeking a highly motivated professional to join the Compliance team.
Primary Responsibilities
- Preparation and coordination on establishing and maintaining relationships with external parties such as completing and maintain paperwork for Broker Dealers, Exchanges, Authorized Participants and Regulators globally
- Experience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations, and practices
- Daily interaction with business management, operations, finance, and risk, providing compliance advice
- Maintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related filings
- Analysis, preparation and filing of various NFA and CFTC filings
- Monitoring of Code of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviews
- Supervise, prepare, track and file required regulatory filings, with the SEC and the CFTC (including by not limited to) for Form ADV, Form PF, NFA Form 7-R and 8-R, NFA notice filings, CFTC Form 40, CPO-PQR and CTA-PR.
- Partner with business leaders, including portfolio management and portfolio administration, within Global X business lines to maintain a strong compliance program.
- Ensure that any compliance issues or concerns with the firm are being appropriately escalated, evaluated, investigated, and addressed in a timely manner.
- Perform other compliance-related responsibilities and special projects as needed.
- Provide business teams compliance guidance, i.e., Advisor Teams, Investment Operations, Portfolio Management, Trade Desk Team, Investment Product Team.
- Identify areas for improvement within Compliance & Operations and design action plans.
Required Skills
The successful candidate will possess at least the following skills and experience:
- 3-5+ years of investment advisory compliance experience.
- Minimum Bachelor's Degree in Business, Finance or related field required
- Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodities Exchange Act, Private Funds, Commodity Pools and other regulations applicable to investment management operations.
- Ability to work effectively in a global environment and collaborate with global colleagues, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.
- Strong strategic, problem solving and analytical skills.
- People skills, leadership qualities and communication skills.
- Ability to work on multiple projects in a fast-paced environment.
- Independent Self-Starter – the ability to organize workload, have keen time management and project management skills to meet strict deadlines.
- Ability to work independently and as part of a team.
Our Offering
Global X offers a competitive salary and benefits package. Global X is a fast-paced environment geared towards performance and attractive career opportunities, with an open corporate culture that values and rewards the contributions of every individual.
For New York City only:
The base salary range for this position is $60,000 - $75,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. The total compensation package for this position may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience.
About Global X
Global X Management Company LLC (“Global X”) is the Adviser to Global X Funds, a New York-based provider of exchange-traded funds that facilitates access to investment opportunities across global markets. Global X was founded in 2008 with the mission of listening to and empowering clients to invest wisely in unexplored and intelligent solutions. With $84 billion in assets under management as of May 2024, Global X currently offers exchange-traded funds in the Thematic Growth, Income, Core, International Access, Commodities, Alpha, and Risk Management fund suites. For more information, please visit www.globalxetfs.com and https://www.greatplacetowork.com/certified-company/7040856.
