Chief Compliance Officer

Chief Compliance Officer, Corgi Funds

Location: Washington, DC (remote to start; hybrid if and when we open a DC office)

Type: Full time

About Corgi

Corgi is a full stack AI insurance and financial services group. We own and operate carriers, reinsurers, an MGA, a TPA, and an asset management arm, and we are replacing manual work across the value chain with AI systems we build ourselves. We have raised over $400M and were most recently valued at $4.1B. We are headquartered in San Francisco with offices in Salt Lake City, Dallas, New York, Atlanta, Chicago, and London.

Corgi Funds is our ETF arm. We have launched close to 200 ETFs and are approaching $1B in assets under management, making us one of the fastest scaling new fund complexes in the market.

The Role

You will serve as Chief Compliance Officer of the adviser under Rule 206(4)-7, with responsibility for the compliance program that supports a fast growing ETF complex. This is a build role rather than a maintenance role. You will work closely with the funds' CCO, the Board, and our legal and product teams, and you will own the adviser side of everything the complex touches.

Concretely, you will:

• Design, implement, and annually review the adviser's compliance policies and procedures, and report on the program to senior management and the Board.
• Own the compliance review of new products from concept through launch, so that policies, procedures, and listing requirements are in place before a fund trades.
• Administer the code of ethics and personal trading program across a group with significant affiliated insurance and investment activity.
• Oversee compliance testing and surveillance across trading, allocation, valuation, and the risk management programs that sit under the fund rules, including liquidity and derivatives.
• Review marketing and sales material under the Marketing Rule and the heightened standards that apply to complex and leveraged products.
• Manage regulatory examinations and inquiries, and serve as the primary compliance contact for SEC staff and the listing exchanges.
• Oversee compliance diligence on service providers, including the administrator, transfer agent, custodian, distributor, and index providers.
• Build the compliance team and the systems behind it, including working with our engineers to automate testing and evidence collection instead of staffing around spreadsheets.

What we are looking for

• Deep, current knowledge of the Investment Company Act of 1940 and the Advisers Act and the rules under them.
• Prior regulatory experience strongly preferred, particularly the SEC's Division of Investment Management, Division of Examinations, or Division of Enforcement, or FINRA. We want someone who has seen how these questions get asked from the other side of the table.
• Working familiarity with ETF mechanics: creation and redemption, authorized participants, basket construction, listing standards at NYSE Arca, Nasdaq, and Cboe, and the operational differences between transparent, semi transparent, and derivatives based structures.

Corgi is an equal opportunity employer. We evaluate all applicants without regard to any characteristic protected by federal, state, or local law.