Review, provide advice, and approve ETF communications including new fund launch materials, market commentaries, product marketing, web, tools, social media, thought leadership and sales presentations
Cultivate and deepen expertise in the ETF ecosystem and investment strategies including model portfolios, thematic investing, active strategies and fixed income
Develop and apply a robust knowledge of FINRA advertising rules, ’40 Act and ’33 Act communications standards
Lead special projects
Design and conduct robust ETF communications training

Bachelor’s degree
3+ years (ASO) or 5+ years (VP) compliance background with a broker-dealer, mutual fund, or ETF business
1+ years advertising review experience
Strong familiarity with FINRA and SEC advertising rules
Series 7 registration required; Series 63 and 24 preferred (absolutely required within 2 months)
Excellent organizational and interpersonal skills
Strong analytical skills, clear writing style, acute attention to detail
Ability to build relationships within the firm and coordinate thoughtfully across teams

Vice President, Global Product Solutions – ETF Regulatory Review

Key skills