Fund Chief Compliance Officer

2 weeks ago


Denver, Colorado, United States ALPS Fund Services, Inc. Full time
Job Summary

We are seeking a highly experienced Chief Compliance Officer to join our team at ALPS Fund Services, Inc. This role 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 coordinate with service providers.
  • Perform on-site due diligence visits to service providers, including investment advisers, sub-advisers, transfer agents, fund administrators, and custodians.
  • Monitor regulatory actions and liaise with outside counsel, fund counsel, and ALPS in-house counsel.
  • Assist regulators and consultants with compliance 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.
  • Experience with exchange traded funds (ETFs) and other alternative products strongly preferred.
  • Ability to manage multiple tasks simultaneously and travel up to 10% of the time.
What We Offer

SS&C offers excellent benefits, including health, dental, 401k plan, tuition reimbursement, and professional development opportunities. We are an Equal Employment Opportunity employer and do not discriminate based on race, color, gender, age, marital status, sexual orientation, national origin, disability, or veteran status.



  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | HybridAbout the Role:This position serves as the Chief Compliance Officer for select investment company clients. The primary duty is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940, safeguarding compliance across fund and service providers.Key...


  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role serves as the Chief Compliance Officer for select investment company clients. The primary focus is to ensure adherence to compliance standards as outlined in Rule 38a-1 of the Investment Company Act of 1940.Key Responsibilities:Oversee the development and updates...


  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: HybridTeam Overview:This role serves as the Chief Compliance Officer for select investment company clients. The primary focus is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their service providers.Key Responsibilities:Oversee the development and...


  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role serves as the Chief Compliance Officer for specific investment company clients. The primary focus is to ensure adherence to compliance regulations as stipulated in Rule 38a-1 of the Investment Company Act of 1940.Key Responsibilities:Manage and update the...


  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | HybridAbout the Role:This role is designed for a seasoned professional to serve as the Chief Compliance Officer for select investment company clients. The primary focus will be to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their...


  • Denver, Colorado, United States ALPS Fund Services, Inc. Full time

    Chief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role is pivotal as the Chief Compliance Officer for select investment company clients. The primary focus will be to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their service providers.Key Responsibilities:Manage and update...


  • Denver, Colorado, United States SS&C Technologies Full time

    Job Title: Chief Compliance Officer - Fund GovernanceSS&C Technologies is seeking a seasoned Chief Compliance Officer to join our team in Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ. As a key member of our compliance team, you will be responsible for ensuring the compliance of our investment...


  • Denver, Colorado, United States SS&C Full time

    Job DescriptionJob Title: Chief Compliance Officer - Fund SpecialistLocation: Hybrid Work ModelAbout the Role:We are seeking a highly experienced Chief Compliance Officer to join our team at SS&C. As a key member of our compliance team, you will be responsible for ensuring that our investment company clients comply with regulatory requirements, including...


  • Denver, Colorado, United States SS&C Full time

    Job Title: Chief Compliance Officer - Fund SpecialistSS&C is a global 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 company's compliance with regulatory requirements and industry standards.Key...


  • Denver, Colorado, United States SS&C Technologies Full time

    About the RoleSS&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 ResponsibilitiesOversee the maintenance and updates of assigned funds' Compliance Programs and...


  • Denver, Colorado, United States SS&C Full time

    Job SummarySS&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 ResponsibilitiesOversee the maintenance of...


  • Denver, Colorado, United States SS&C Technologies Holdings, Inc. Full time

    Compliance Officer Job Description **Job Summary:** We are seeking a highly skilled Compliance Officer to join our team at SS&C Technologies Holdings, Inc. As a key member of our compliance team, you will be responsible for ensuring the fund and investment company clients comply with regulatory requirements. **Key Responsibilities:** * Ensure fund and...


  • Denver, Colorado, United States SS&C Full time

    Job SummaryWe are seeking a highly experienced Chief Compliance Officer to join our team at SS&C. As a key member of our compliance team, you will be responsible for ensuring that our investment company clients comply with regulatory requirements.Key ResponsibilitiesOversee the maintenance and updates of compliance programs and summaries of service provider...


  • Denver, Colorado, United States Matter Family Office Full time

    Job Title: Chief Compliance OfficerMatter Family Office is seeking a highly skilled and experienced Chief Compliance Officer to lead and oversee our compliance needs. This independent role ensures that we adhere to all regulatory requirements, mitigate risk, and operate with the highest level of integrity.Responsibilities:Maintain and update the Compliance...


  • Denver, Colorado, United States MATTER FAMILY OFFICE Full time

    Job SummaryMatter Family Office is seeking a highly experienced and skilled Chief Compliance Officer to lead and oversee our compliance needs. This is an opportunity to drive a culture of compliance across our organization, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks.Key ResponsibilitiesCompliance...


  • Denver, Colorado, United States COMPOUND Full time

    {"title": "General Counsel and Chief Compliance Officer", "description": "Job SummaryWe are seeking an experienced General Counsel and Chief Compliance Officer to join our team at Compound. As a key member of our leadership team, you will play a critical role in ensuring the company's compliance with regulatory requirements while providing strategic legal...


  • Denver, Colorado, United States COMPOUND Full time

    {"title": "General Counsel and Chief Compliance Officer", "description": "Job SummaryWe are seeking an experienced General Counsel and Chief Compliance Officer to join our team at Compound. As a key member of our leadership team, you will play a critical role in ensuring the company's compliance with regulatory requirements while providing strategic legal...


  • Denver, Colorado, United States Gen II Fund Services Full time

    Job Title: Managing DirectorGen II Fund Services, LLC is seeking a seasoned Managing Director to lead our Private Equity Fund Administration team. As a key member of our leadership team, you will be responsible for managing a team of Directors and Associate Directors, overseeing multiple sponsors, and ensuring the quality of client deliverables.Key...


  • Denver, Colorado, United States Senior Housing Options Full time

    Job SummaryThe Director of Finance and Accounting is a key member of the Senior Housing Options leadership team, responsible for overseeing all aspects of financial operations, recordkeeping, reporting, loan compliance, audit, and budget creation for the organization and its properties.Key ResponsibilitiesEstablish and monitor internal financial controls to...


  • Denver, Colorado, United States Senior Housing Options Inc Full time

    Job SummaryWe are seeking a highly skilled and experienced Director of Finance and Accounting to join our team at Senior Housing Options, Inc. The successful candidate will be responsible for leading all aspects of financial operations, including recordkeeping, reporting, loan compliance, audit, and budget creation.Key ResponsibilitiesEstablish and monitor...