Deputy Chief Compliance Officer

The posting, as Open Roles wrote it

The Tidal Financial Group is a leading ETF investment technology platform dedicated to creating, operating, and growing ETFs. We combine expertise and innovative partnership approaches to offer comprehensive, value-generating ETF solutions.

Our platform offers best-in-class strategic guidance, product planning, trust and fund services, legal support, operations support, marketing and research, and sales and distribution services.

About the role
Tidal Financial Group is a leading ETF investment and technology platform helping clients launch, manage, trade and grow ETFs. As of July 31, 2026, Tidal supports more than 440 ETFs for more than 110 issuers and sponsors, with more than $74 billion in assets under service. The platform spans the full ETF lifecycle and some of the industry's most innovative and complex strategies.

We are looking for a builder, operator, and regulatory leader to become the Chief Compliance Officer's right hand and lead the next generation of compliance at Tidal. This is not a maintenance role. It is an opportunity to modernize a complex compliance ecosystem so it can move at the speed and scale of the business without compromising independence or investor protection.
What you'll do
The Deputy Chief Compliance Officer will have day to day leadership across Tidal's entire compliance structure, integrating investment company trust compliance, investment guideline compliance, investment adviser compliance, and due diligence into one high-performing operating model. The Deputy will set standards, establish accountability, challenge the business, drive remediation and make risk visible before it becomes an incident. Tidal's Compliance function extends beyond the 1940 Act and Advisers Act to enterprise-wide privacy, cybersecurity, conflicts, employee conduct, service provider oversight, regulatory change, and compliance team leadership.

A central part of the mandate is to leverage technology - including data, workflow automation and thoughtfully governed AI to improve surveillance, testing, evidence, issue management, regulatory change and board reporting. Human judgment remains essential; technology should make that judgment faster, better informed, and more scalable.

The Deputy reports to the Chief Compliance Officer and works closely with the General Counsel, senior management, fund boards, independent trustees, and leaders across Tidal. The Deputy may exercise delegated authority and may over time be formally appointed to assume some or all CCO responsibilities. Until then, the statutory responsibilities and direct board accountability of each formally designated CCO remain unchanged.

What Success Looks Like in 12 Months
Full command. Trusted adviser. Proactive de-risking.
Within 12 months, this leader will have complete operating leadership of Tidal's compliance architecture - its people, programs, controls, systems, data, escalation paths and external relationships. The Deputy will be a trusted advisor to the CEO,
[…]
The Deputy will have direct access to the Chief Compliance Officer, General Counsel and relevant fund boards; access to the records, systems, personnel and service providers required to perform the role; and authority to require remediation and escalate material or repeated issues. When delegated by the Chief Compliance Officer, the Deputy may pause an onboarding, filing, launch, trade, marketing item or other activity while a material requirement remains unresolved. First-line teams remain responsible for compliant execution, and formally designated program owners retain their statutory responsibilities unless and until a separate appointment is made.
Qualifications

• At least 12 years of progressive investment management compliance experience, including senior leadership of ETF, Rule 38a-1 and Rule 206(4)-7 programs.
• Credibility with complex products and operating models, including options, swaps, futures, leverage, inverse strategies, commodity interests or digital asset related exposures.
• A demonstrated record of taking control of a complex function, simplifying it and building scalable systems that measurably reduce risk, including the responsible use of data, automation and AI.
• Exceptional judgment and communication, with the confidence to advise a CEO and fund board, challenge senior leaders and make difficult calls without becoming bureaucratic.
• Prior experience as a Deputy CCO, named CCO or senior leader in a multi-series fund complex, ETF platform or multi-manager environment is strongly preferred. A relevant professional credential is a plus.

How This Leader Operates
Builder's mindset. Independent judgment. Boardroom-to-workflow range. This leader redesigns systems, acts early, fixes root causes and is as comfortable making the hard call with trustees and regulators as inspecting the underlying evidence.

We are prioritizing candidates who are located within proximity to Chicago, IL; Milwaukee, WI; New York City, NY; and West Palm Beach, FL.