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Senior Manager, Compliance

ProShares
Location
Bethesda
Posted
1 month ago
Department
Legal, Compliance & Risk
Salary
$100,000-$140,000
What they actually want (must-haves)
  • BS or BA required, JD strongly preferred
  • 5+ years’ experience in compliance role for registered investment company
  • Familiarity with fund distribution, broker-dealer and investment advisor issues
  • 5+ years’ experience working with SEC, FINRA, CFTC and other securities agencies
  • 5+ years’ experience writing and implementing policies and procedures
  • 5+ years’ experience conducting audits
What the job really is

The Senior Manager, Compliance at ProShares will oversee compliance programs across multiple business units, ensuring they address regulatory risks effectively. This role involves developing compliance policies, managing compliance relationships with regulatory agencies, and providing compliance training and advice to various departments. The incumbent will also act as a deputy to the Chief Compliance Officer when needed and will be responsible for monitoring and interpreting new regulatory requirements.

Benefits
  • Competitive pay and discretionary bonus
  • Paid time off
  • Health care benefits (medical, dental & vision)
  • Additional insurance includes basic life, accidental death and dismemberment, supplemental life, disability and legal benefit
  • 401(k) retirement plan with matching contribution
  • Spending Accounts (Health Care, Dependent Care, and Transportation)
Things to weigh
  • No specific mention of team size or structure, which may impact collaboration and support
  • Role involves significant regulatory interaction, which may require strong interpersonal skills and adaptability to changing regulations
Job score4.2/5
Benefits5/5
Freshness3/5
Career value4/5
Role clarity4/5
Pay transparency5/5

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