Job Description

NEOS is seeking to hire an Associate to assist the Chief Compliance Officer to administer and enhance NEOS’s compliance program. This role will work closely with Chief Compliance Officer of the firm, the Chief Compliance Officer of the funds and management on a variety of compliance matters focused on registered funds and a registered investment adviser, including assisting with policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting.

Responsibilities

• Review registered fund client communications and quarterly reporting.
• Perform registered fund compliance testing and monitoring.
• Assist in maintaining and updating policies and procedures based on new registered fund regulatory developments.
• Assist in conducting company-wide training to meet both SEC and FINRA obligations.
• Facilitate periodic Fund Board materials preparation and Board reporting
• Monitor industry-wide compliance initiatives as well as important federal and state, regulatory developments and conduct analyses as to how such developments impact our activities
• Other duties that the Chief Compliance Officer may determine.

Qualifications

• Bachelor's degree in a related field
• 2-4 years of compliance experience within an RIA that manages ETF’s or Mutual Funds with implementation and guideline monitoring experience
• Experience with a Broker-Dealer compliance regime pertaining to registered representatives is preferred.
• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and applicable FINRA rules
• Experience in investment management, wealth management, or fintech industry, with a solid understanding of compliance restrictions around registered products
• Motivated to learn new topics and work in an evolving business environment

The estimated base salary range for this position is $75,000 to $100,000. NEOS offers a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. An individual's experience level and the qualifications they bring to the role to are considered when formulating a competitive total compensation package.



About NEOS

NEOS Investments is a global asset manager that utilizes quantitative approaches to deliver yield enhancement and risk mitigation investment solutions. Built on decades of research and experience, NEOS aims to empower investors of all sizes with portfolio building blocks that provide high income, tax efficiency, and diversification through data-driven, options-based ETFs.

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