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

Please send all cover letters and resumes to: careers@defianceetfs.com