Fund Regulatory Specialist

2 months ago


Kansas City, Missouri, United States SS&C Technologies Holdings Full time
Job Summary

We are seeking a highly experienced Chief Compliance Officer to join our team at SS&C Technologies Holdings. 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 Compliance Programs and Summaries of Service Provider Procedures for assigned funds.
  • Develop and maintain product risk assessments for assigned funds.
  • Provide regular reports to fund boards of directors/trustees, including quarterly and annual written reports.
  • Participate in fund level risk assessments with internal audit and perform on-site due diligence visits to service providers.
  • Work with outside counsel, fund counsel, and in-house counsel to monitor regulatory actions that may impact the funds.
  • Liaise with fund clients to coordinate compliance-related due diligence visits and provide ongoing support.
  • Assist regulators and consultants with information necessary for regulatory reviews and examinations.
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 and proficient in SEC regulation of the mutual fund industry.
  • Excellent verbal and written communication skills and 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 and willingness to work on site at least 6 days/month.


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