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
Learn more about our ETFs