Chief Compliance Officer for Investment Funds

2 weeks ago

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

Location: Hybrid

Team 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 updates of Compliance Programs and Summaries of Service Provider Procedures for assigned funds, including reporting significant policy changes to the respective Fund Boards.
  • Lead the creation and ongoing updates of comprehensive product risk assessments.
  • Deliver regular quarterly 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 service providers.
  • Conduct on-site due diligence assessments of service providers for assigned funds, covering investment advisers, sub-advisers, transfer agents, fund administrators, fund accounting agents, distributors, and custodians.
  • Work alongside external counsel, fund counsel, and ALPS 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 Chief Compliance Officer support.
  • Assist regulators and consultants by supplying necessary information for regulatory and compliance reviews 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.
  • Preferred supervisory experience.
  • 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 highly desirable.
  • Able to manage multiple priorities effectively.
  • Proficient in SEC regulations governing the mutual fund industry, with a strong understanding 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 range of internal and external stakeholders.
  • 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 professional development reimbursement. We are an Equal Employment Opportunity employer and do 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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