Careers

Role: Chief Compliance Officer

Responsibilities:

• Provide compliance oversight of Defiance ETFs, and its representatives.
• Work with the President & CEO to develop an effective compliance training program, including appropriate introductory training for new employees and representatives as well as ongoing training for all employees and representatives.
• Execute strategic and consistent approaches to compliance reviews, issues and/or concerns to minimize the company’s exposure.
• Act as our appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams.

Requirements: 

• Bachelor’s Degree
• Series 7, 24, & 63
• 3-5 years of a Compliance/Supervisory RoleClean U-4
• Experience in FINRA/firm audits
• Knowledge of FINRA rules and regulations
• Ability to carry out duties in compliance with all state and federal regulations and guidelines
• Location: Flexible, East Coast Preferred

Role: ETF Specialist, Vice President

Responsibilities:

• ETF business development across financial advisory channels including Wirehouses, Registered Investment Advisors, Regional Broker Dealers, Independents, Banks, Insurance Companies and ETF Strategists
• Drive AUM via proactive phone calls, emails, webinars and meetings
• Work directly with our CMO to ensure all leads are covered
• High sales activity

Requirements:

• Bachelor’s Degree
• Series 7 & 63
• 3-5 years of Mutual Fund/ETF Sales Experience
• Clean U-4
• CIMA/CFP preferred   
• Previous wholesaling, and territory management
• Location: Greater Philadelphia area preferred