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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: Hybrid

About 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 of Compliance Programs and Service Provider Procedures for assigned funds, ensuring timely reporting of any significant policy changes to the respective Fund Boards.
  • Lead the creation and ongoing updates of comprehensive product risk assessments.
  • Deliver regular quarterly presentations and an annual written report to the Boards of directors/trustees of assigned Funds.
  • Collaborate with Internal Audit to coordinate fund-level risk assessments related to various services provided by ALPS and other service providers.
  • Conduct on-site due diligence assessments of service providers for assigned funds, including investment advisers, sub-advisers, transfer agents, fund administrators, fund accounting agents, distributors, and custodians.
  • Work alongside external legal 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 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:

  • A minimum of 10 years of experience in compliance or a related role within the mutual fund sector.
  • Supervisory experience is preferred.
  • A Bachelor's Degree or equivalent experience is required; an Advanced Degree and/or Professional Certifications are preferred.
  • Extensive knowledge of regulatory requirements and operational policies for mutual fund service providers is essential.
  • In-depth understanding and practical experience with the 1940 Act and Investment Adviser Act regulatory requirements are necessary.
  • Experience with exchange-traded funds (ETFs) and alternative products is strongly preferred.
  • Ability to manage multiple tasks effectively and efficiently.
  • Proficiency in SEC regulations governing the mutual fund industry is required, with a strong understanding of FINRA being preferred.
  • Advanced computer skills, including proficiency in Microsoft Office (Word, Excel, PowerPoint, etc.), electronic project management tools, and online procedural management systems.
  • Exceptional verbal and written communication skills, with the ability to engage with a diverse range of internal and external stakeholders, including executive management and regulators.
  • Familiarity with a risk-based approach to compliance monitoring is advantageous.
  • Willingness to travel up to 10% of the time is required.
  • Commitment to work on-site at least 6 days per month is expected.

Thank you for considering this opportunity with ALPS Fund Services, Inc. We offer a comprehensive benefits package, including health, dental, 401k plan, and tuition reimbursement for professional development. ALPS Fund Services, Inc. is an Equal Employment Opportunity employer and upholds a commitment to diversity and inclusion in the workplace.