Operations Compliance Analyst

Global X ETFs, the New York-based provider of Exchange Traded Funds and Great Place to Work® Certified company is seeking a highly motivated professional to join the Compliance team.Primary ResponsibilitiesPreparation and coordination on establishing and maintaining relationships with external parties such as completing and maintain paperwork for Broker Dealers, Exchanges, Authorized Participants and Regulators globallyExperience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations, and practicesDaily interaction with business management, operations, finance, and risk, providing compliance adviceMaintenance and filing of SEC Forms, including ADV Part 1, Part 2A, Form PF and related filingsAnalysis, preparation and filing of various NFA and CFTC filingsMonitoring of Code of Ethics activities, including Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, among other conflict reviewsSupervise, prepare, track and file required regulatory filings, with the SEC and the CFTC (including by not limited to) for Form ADV, Form PF, NFA Form 7-R and 8-R, NFA notice filings, CFTC Form 40, CPO-PQR and CTA-PR.Partner with business leaders, including portfolio management and portfolio administration, within Global X business lines to maintain a strong compliance program.Ensure that any compliance issues or concerns with the firm are being appropriately escalated, evaluated, investigated, and addressed in a timely manner.Perform other compliance-related responsibilities and special projects as needed.Provide business teams compliance guidance, i.e., Advisor Teams, Investment Operations, Portfolio Management, Trade Desk Team, Investment Product Team.Identify areas for improvement within Compliance & Operations and design action plans.Required SkillsThe successful candidate will possess at least the following skills and experience:3-5+ years of investment advisory compliance experience.Minimum Bachelor's Degree in Business, Finance or related field requiredKnowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodities Exchange Act, Private Funds, Commodity Pools and other regulations applicable to investment management operations.Ability to work effectively in a global environment and collaborate with global colleagues, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.Strong strategic, problem solving and analytical skills.People skills, leadership qualities and communication skills.Ability to work on multiple projects in a fast-paced dependent Self-Starter - the ability to organize workload, have keen time management and project management skills to meet strict deadlines.Ability to work independently and as part of a team.Our OfferingGlobal X offers a competitive salary and benefits package. Global X is a fast-paced environment geared towards performance and attractive career opportunities, with an open corporate culture that values and rewards the contributions of every individual.For New York City only:The base salary range for this position is $60,000 - $75,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. The total compensation package for this position may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience.About Global XGlobal X Management Company LLC ("Global X") is the Adviser to Global X Funds, a New York-based provider of exchange-traded funds that facilitates access to investment opportunities across global markets. Global X was founded in 2008 with the mission of listening to and empowering clients to invest wisely in unexplored and intelligent solutions. With $84 billion in assets under management as of May 2024, Global X currently offers exchange-traded funds in the Thematic Growth, Income, Core, International Access, Commodities, Alpha, and Risk Management fund suites. For more information, please visit and

Created: 2024-11-06