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Chief Compliance Officer

2 months ago

Dublin, Ohio, United States SS&C Full time

Job Summary

SS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a Chief Compliance Officer - Fund Specialist, you will play a critical role in ensuring the compliance of our investment company clients with regulatory requirements.

Key Responsibilities

  • Oversee the maintenance of Compliance Programs and Summaries of Service Provider Procedures for assigned funds.
  • Develop and maintain product risk assessments for assigned funds.
  • Provide regular reports to assigned Funds' Boards of directors/trustees, including quarterly and annual written reports.
  • Participate in the coordination of fund level risk assessments with Internal Audit.
  • Perform on-site due diligence visits to service providers of assigned funds.
  • Work with outside counsel, fund counsel, and ALPS in-house counsel to monitor regulatory actions that could impact the funds.
  • Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support.
  • Assist regulators and consultants by providing requested information necessary to conduct regulatory/compliance reviews and examinations of the funds assigned.

Requirements

  • Minimum 10 years' experience in compliance or a similar role within the mutual fund industry.
  • Supervisory experience preferred.
  • Bachelor's Degree or equivalent experience and Advanced Degree and/or Professional Certifications preferred.
  • Advanced knowledge of regulatory requirements and limitations, and operating policies for mutual fund service providers.
  • Advanced knowledge of and practical experience in the application of 1940 Act and Investment Adviser Act regulatory requirements.
  • Specific experience with exchange traded funds (ETFs) and other alternative products strongly preferred.
  • Ability to manage multiple tasks simultaneously.
  • Proficient in SEC regulation of the mutual fund industry.
  • Advanced computer skills, including Microsoft Office and electronic project management applications.
  • Excellent verbal and written communication skills.
  • Familiarity with risk-based approach to conducting compliance monitoring activities.
  • Ability to travel up to 10% of the time.

What We Offer

  • Excellent benefits, including health, dental, 401k plan, tuition and professional development reimbursement plan.
  • Equal Employment Opportunity employer.