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Chief Compliance Officer for Investment Funds

2 months ago

Denver, Colorado, United States ALPS Fund Services, Inc. Full time
Chief Compliance Officer for Investment Funds - HYBRID

Location: Various Locations | Hybrid

About 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 Responsibilities:

  • Manage the development and updates of Compliance Programs and Summaries of Service Provider Procedures for assigned funds, ensuring timely reporting of any significant policy changes to Fund Boards.
  • Oversee the creation and regular updates of comprehensive product risk assessments.
  • Deliver and present quarterly compliance reports to the Boards of directors/trustees of assigned Funds, including an annual written summary.
  • Collaborate with Internal Audit to coordinate fund-level risk assessments of various services provided by ALPS and other partners.
  • Conduct on-site due diligence assessments of service providers for assigned funds, including investment advisers, transfer agents, fund administrators, and custodians.
  • Work alongside external and in-house legal counsel to monitor and identify regulatory actions that may affect the funds.
  • Coordinate compliance-related due diligence visits with existing fund clients and provide ongoing support as the Fund Chief Compliance Officer.
  • Assist regulatory bodies and consultants by supplying necessary information for compliance reviews and examinations of assigned funds.
  • Engage in additional projects and activities as requested.

Qualifications:

  • At least 10 years of experience in compliance or a related role within the mutual fund sector.
  • Supervisory experience is preferred.
  • Bachelor's Degree or equivalent experience; advanced degrees and/or professional certifications are advantageous.
  • In-depth knowledge of regulatory requirements and operational policies for mutual fund service providers.
  • Extensive understanding and practical experience with the 1940 Act and Investment Adviser Act regulatory requirements.
  • Experience with exchange-traded funds (ETFs) and alternative products is highly desirable.
  • Ability to manage multiple priorities effectively.
  • Proficient understanding of SEC regulations governing the mutual fund industry, with a strong grasp of FINRA regulations preferred.
  • Advanced computer skills, including proficiency in Microsoft Office and electronic project management tools.
  • Exceptional verbal and written communication skills, capable of engaging with a diverse audience, including executive management and regulators.
  • Familiarity with a risk-based approach to compliance monitoring.
  • Willingness to travel up to 10% of the time.
  • Commitment to working on-site at least 6 days per month.

ALPS Fund Services, Inc. is committed to providing excellent benefits, including health, dental, 401k plans, and tuition reimbursement for professional development. We are an Equal Employment Opportunity employer and uphold a commitment to diversity and inclusion in our workforce.