Chief Compliance Officer

4 days ago


Denver, Colorado, United States SS&C Technologies Full time
About the Role

SS&C Technologies is seeking a highly experienced Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring the compliance of our investment company clients with regulatory requirements.

Key Responsibilities
  • Oversee the maintenance and updates of assigned funds' Compliance Programs and Summaries of Service Provider Procedures.
  • Develop and oversee the maintenance of, and updates to, assigned all product risk assessments.
  • Provide and present regular, quarterly reports to assigned Funds' Boards of directors/trustees.
  • Participate with Internal Audit in the coordination of fund level risk assessments of various services provided by ALPS and other service providers.
  • Perform on-site due diligence visits to services providers of assigned funds.
  • Work with outside counsel, fund counsel, and ALPS in-house counsel to monitor for and identify proposed and/or final 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 to clients of ALPS.
  • 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 similar role within the mutual fund industry.
  • Supervisory experience preferred.
  • Bachelors Degree or equivalent experience and Advanced Degree and/or Professional Certifications preferred.
  • Must have advanced knowledge of regulatory requirements and limitations, and operating policies for mutual fund service providers.
  • Must have 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.
  • Must be able to manage multiple tasks simultaneously.
  • Proficient in SEC regulation of the mutual fund industry (strong understanding of FINRA preferred).
  • Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc.), electronic project management applications and online procedural management systems.
  • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience.
  • Familiarity with risk-based approach to conducting compliance monitoring activities.
  • Ability to travel up to 10% of the time.
  • Willingness to work on site at least 6 days/month.


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