You will oversee daily compliance monitoring activities, regulatory reporting, issue resolution, and audit support while serving as a subject matter expert on registered fund compliance matters for exchange-traded fund ("ETF"), mutual fund, closed end fund and/or business development company clients. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.