Compliance Manager

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Position Summary

The Compliance Manager is responsible for ensuring that the Chief Compliance Officer for ProFund Advisors, LLC (PFA) and ProShare Advisors, LLC (PSA) is informed about all material developments in the compliance programs for both ProFunds and ProShares Trusts and their principle service providers, including the investment advisor, distributor, transfer agent, and any administrative services provider (the Entities). The Compliance Manager will audit and identify processes and/or activities to ensure they are in compliance with applicable federal securities laws and rules and with PFA’s and PSA's own policies and procedures.

Essential Job Functions¹

1. Have responsibility for developing and maintaining a consistent policy and procedural framework for PFA/PSA compliance oversight program and will provide direction to the Analyst on tasks to be accomplished to update and achieve efficiencies within the compliance programs.
2. Implement, monitor and report on systems and processes to ensure full compliance by PFA/PSA and their principal service provider with applicable state and federal laws and self regulatory organization rules.
3. Create written summaries of compliance issues and corrective measures taken to address any deficiencies.
4. Perform audit work testing and documenting the effectiveness of the Entities compliance policies and procedures.
5. Maintain current copies of the Entities written compliance policies and procedures and inform the CCO of any material changes.
6. Monitor on an ongoing basis the personal trading activities of access persons subject to both the ProFunds and ProFund Advisors LLC’s Code of Ethics.
7. Assist with implementation of the PFA’s and PSA’s AML program.
8. Assist with preparation of Board of Trustees materials such as fair value decisions, compliance reports, Rule 17a7 cross trade reports and any other reports to assist the Board of trustees in evaluation the effectiveness of the Entities’ Compliance Programs.
9. Other duties and responsibilities as assigned.

Education and Experience

1. Bachelor's degree Finance or related degree.
2. Ten or more years experience within the securities industry.
3. Five or more years experience in compliance.

Knowledge, Skills and Abilities

1. Experience working with SEC, FINRA and other securities agencies.
2. Experience writing and implementing policies and procedures.
3. Experience conducting audits.
4. Experience working with the Investment Company Act of 1940.
5. Excellent analytical skills.
6. Excellent organizational skills.
7. Experience delivering training.
8. Ability to work independently on assigned tasks as well as to accept direction as needed.