AVP of Due Diligence Specialist

About the role

We are looking for an experienced Due Diligence Specialist to work in Tidal Investments LLC’s Compliance and Fund Governance Department. This role is focused on ensuring robust due diligence and compliance with the requirements of Section 15(c) of the Investment Company Act of 1940 and also maintaining the quality and accuracy of libraries of text for use in responding to DDQs and related documents.  The successful candidate will be detail-oriented and proactive and engage with internal departments to obtain information related to the due diligence requests of the investment adviser, and work with external legal counsel. The Due Diligence Specialist will report to the VP of Fund Governance and Trust Compliance of Tidal Investments, LLC. 

What you'll do

• Section 15(c) Due Diligence: Manage the due diligence process related to the evaluation of the investment adviser’s initial and annual renewal and approval of its investment advisory agreements. This includes compilation and analysis of data, fees, services provided, and other relevant factors in responding to the request and coordination with the Fund Governance team related to ensure timely delivery of materials to external legal counsel and the Boards of Trustees.  
• Ongoing Due Diligence Requests, and Monitoring: Participate in the due diligence process for requests for proposal (RFPs), due diligence questionnaires (DDQs), and requests for information (RFIs) that come into Tidal by maintaining the quality, accuracy, and compliance of libraries of text for use in responding to these requests.   
• Library Management: Oversee, maintain, and continuously enhance a centralized library of standard content used in due diligence questionnaires, RFIs, RFPs, and similar requests to ensure consistent, accurate, and timely responses. 
• Stakeholder Collaboration: Work closely with internal legal, operations, fund administration, finance, business development, and client success management teams to ensure a high standard of deliverables.  Establish best practices and procedures for the various groups involved in collating these materials on an ongoing basis. Ensure all stakeholders are adopting any tech tooling and procedures set forth by Compliance with respect to due diligence questions.
• Operational Efficiency and Innovation: Partner with users of due diligence and response tools to identify and implement AI-driven and automated solutions to enhance operational efficiency, while establishing a control framework aligned with risk management best practices. 
• Continuous Improvement: Focus on continuous process improvement initiatives aimed at driving consistency, accuracy, and speed in responding to due diligence and information requests. 
• Annual Trustee & Officer (“T&O”) Questionnaires: Preparation, coordination and distribution of annual T&O Questionnaires across the Tidal Trusts working closely with clients, external legal counsel and internally with Fund Governance and Legal teams. 

Qualifications

• Energetic self-starter with strong organizational and time management skills, excellent communication and interpersonal skills (both verbal and written), and strong drafting/writing skills. 
• Ability to prioritize and work concurrently on a variety of projects, often managing multiple deadlines at once. 
• Proven ability to work well independently and collaboratively, often within tight time constraints. 
• Strong collaboration skills to communicate effectively with senior management, external legal counsel, and cross-functional teams. 
• Project management experience beneficial, with a focus on delivering projects with a high degree of quality and timeliness. 
• Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Office Suite. Proven ability to adapt to new software and processes. 
• Familiarity with AI tools and automation technologies used for content management and operational efficiency preferred. 
• Experience overseeing and maintaining centralized libraries or content management systems for due diligence or regulatory responses. 
• 3 to 5 years of ETF, mutual Fund, 1940 Act and fund compliance and governance experience, ideally in a mutual fund/ETF, financial services, or law firm environment desired. 
• BA degree required. 
• Strong risk management mindset with experience establishing operational controls. 
• Demonstrated focus on continuous improvement and operational excellence.  
• Experience with the Investment Company Act of 1940, particularly Section 15(c) beneficial. 
• Experience with board reporting, regulatory compliance, and investment advisory agreements beneficial. 
• Knowledge of mutual fund structures, investment advisers, and governance best practices beneficial. 

Please submit your resume, along with a cover letter outlining your relevant experience.

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