Chief Compliance Officer for Investment Funds
2 weeks ago
SS&C is a worldwide leader in providing investment and financial services along with software solutions tailored for the financial services and healthcare sectors. Recognized on the Fortune 1000 list as a top U.S. company by revenue, SS&C is based in Windsor, Connecticut, employing over 20,000 professionals across more than 90 locations in 35 countries. Our products and services are utilized by approximately 18,000 financial services and healthcare organizations, ranging from the largest institutions to local firms, to manage and account for their investments.
Position Overview
Title: Chief Compliance Officer for Investment Funds - HYBRID
Location: Various locations | Hybrid
Team Introduction:
This role will serve as the Chief Compliance Officer for select investment company clients. The primary duty will be to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by the funds and their service providers.
What We Offer
- Flexibility: Hybrid Work Model & Business Casual Dress Code, including jeans
- Your Future: 401k Matching Program, Professional Development Reimbursement
- Work/Life Balance: Flexible Personal/Vacation Time Off, Sick Leave, Paid Holidays
- Your Wellbeing: Medical, Dental, Vision, Employee Assistance Program, Parental Leave
- Diversity & Inclusion: Committed to Welcoming, Celebrating, and Thriving on Diversity
- Training: Hands-On, Team-Customized, including SS&C University
- Extra Perks: Discounts on fitness clubs, travel, and more
- Oversee the development and updates of compliance programs and summaries of service provider procedures for assigned funds, including reporting material changes to the respective Fund Boards.
- Develop and maintain product risk assessments for assigned funds.
- Prepare and present regular quarterly reports to the Funds' Boards of directors/trustees, including an annual written report.
- Collaborate with Internal Audit to coordinate fund-level risk assessments of various services provided by ALPS and other service providers.
- Conduct on-site due diligence visits to service providers of assigned funds, including investment advisers, transfer agents, fund administrators, and custodians.
- Work with external and in-house 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 Fund CCO.
- Assist regulators and consultants by supplying necessary information for compliance reviews and examinations of assigned funds.
- Engage in additional activities and projects as requested.
- At least 10 years of experience in compliance or a similar role within the mutual fund industry.
- Supervisory experience is preferred.
- Bachelor's Degree or equivalent experience; advanced degrees and/or professional certifications are preferred.
- Extensive knowledge of regulatory requirements and operational policies for mutual fund service providers.
- In-depth understanding and practical experience with the 1940 Act and Investment Adviser Act regulatory requirements.
- Specific experience with exchange-traded funds (ETFs) and alternative products is strongly preferred.
- Ability to manage multiple tasks simultaneously.
- Proficient in SEC regulations governing the mutual fund industry.
- Advanced computer skills, including Microsoft Office and project management applications.
- Excellent verbal and written communication skills, capable of engaging with a diverse internal and external audience.
- Familiarity with a risk-based approach to compliance monitoring activities.
- Willingness to travel up to 10% of the time.
- Availability to work on-site at least 6 days per month.
Thank you for considering a career with SS&C. We are committed to providing excellent benefits, including health, dental, 401k plans, and professional development reimbursement. SS&C Technologies is an Equal Employment Opportunity employer and does not discriminate against any applicant based on race, color, religious creed, gender, age, marital status, sexual orientation, national origin, disability, veteran status, or any other classification protected by applicable discrimination laws.
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