Associate, Operations Compliance

Global X ETFs, the New York-based provider of Exchange Traded Funds and Great Place to Work® Certified company is seeking a highly motivated Associate, Operations Compliance to join the Compliance team to help support the ongoing compliance efforts within the organization.

Primary Responsibilities

Interpret and implement and code regulatory and internal investment guidelines into the Global X Order Management System, Bloomberg AIM. This includes the creation of compliance rules and conducting daily independent reviews of coded rules for accuracy and complliance.

Collaborate cross-functionally with Legal and Compliance, Portfolio Management, Product Implementation and Trading teams at all levels to interpret investment restrictions and provide compliance advice.

Research and address investment guideline inquiries from internal and external stakeholders.Assist in pre- and post-trade monitoring to ensure compliance, assess firm guidelines for breaches and communicate/resolve identified breaches with portfolio managers.

Monitor Code of Ethics activities (ie. Conflicts of Interest, Personal Trading, Private Investments, Outside Business Activities and Affiliations, etc). Ensure timely escalation, evaluation, investigation and resolution of compliance issues. Identify areas for improvement within Compliance and Operations and design action plans.

Must have experience with Investment Management Regulations, including SEC, CFTC and NFA rules, and best practices. (i.e.1940 ACT, RIC Diversification Rules, etc).

Perform other compliance-related responsibilities and special projects as needed.

Required Skills

3-5+ years of investment advisory compliance experience.

Demonstrated proficiency in utilizing and navigating Bloomberg AIM for interpreting and coding regulatory and internal investment guidelines.

Minimum Bachelor's Degree in Business, Finance or related field.

Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodities Exchange Act, Private Funds, Commodity Pools and relevant investment management operations.

Ability to work effectively in a global environment collaborate with international colleagues, and possess strong communication, interpersonal and leadership skills.

Strong strategic, problem solving and analytical skills.

Proven ability to manage multiple projects in a fast-paced environment, organize workload, and meet strict deadlines with solid time and project management skills.

Independent Self-Starter with the ability to work autonomously or as part of a team.

Our Offering

Global X offers a competitive salary and benefits package and hybrid schedule. 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 $85,000-$100,000. 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 X

Global X is the investment adviser to the Global X Funds and 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 approximately $54 billion in assets under management as of January 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