Fund Chief Compliance Officer

1 month ago

Kansas City, United States SS&C Technologies Holdings Full time
Job Description

Title: Fun Chief Compliance Officer - HYBRID

Location: Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ | Hybrid

Get to Know The Team:

This position will act in the capacity of Chief Compliance Officer for certain investment company clients.  Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. 

Why You Will Love It Here

  • Flexibility: Hybrid Work Model & a 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

What You Will Get To Do::

  • Oversee maintenance of, and updates to, assigned funds’ Compliance Programs and Summaries of Service Provider Procedures.  This shall include reporting any material changes in policies and/or procedures of the funds or its service providers to the respective Fund Boards.
  • Develop and oversee maintenance of, and updates to, assigned all product risk assessments. 
  • Provide and present regular, quarterly reports to assigned Funds’ Boards of directors/trustees.  This shall include an annual written report to the Fund Boards.
  • Participate with Internal Audit in the coordination of fund level risk assessments of various services provided by ALPS and other service providers.
  • Perform on-site due diligence visits to services providers of assigned funds including, but not limited to, investment adviser, sub-adviser, transfer agent, fund administrator, fund accounting agent, distributor and custodian.
  • Work with outside counsel, fund counsel, and ALPS in-house counsel to monitor for and identify proposed and/or final regulatory actions that could impact the funds. 
  • Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support to clients of ALPS.
  • Assist regulators and consultants by providing requested information necessary to conduct regulatory/compliance reviews and examinations of the funds assigned.
  • Other activities and projects as may be requested. 

What You Will Bring:

  • Minimum 10 years’ experience in compliance or similar role within the mutual fund industry.
  • Supervisory experience preferred.
  • Bachelors Degree or equivalent experience and Advanced Degree and/or Professional Certifications preferred.
  • Must have advanced knowledge of regulatory requirements and limitations, and operating policies for mutual fund service providers (i.e. investment adviser, custody, distribution, fund accounting agent, transfer agent, fund administration).
  • Must have advanced knowledge of and practical experience in the application of 1940 Act and Investment Adviser Act regulatory requirements.
  • Specific experience with exchange traded funds (ETFs) and other alternative products strongly preferred.
  • Must be able to manage multiple tasks simultaneously.
  • Proficient in SEC regulation of the mutual fund industry (strong understanding of FINRA preferred).
  • Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc.), electronic project management applications and online procedural management systems.
  • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience including, but no limited to, executive management, regulators and mutual fund clients.
  • Familiarity with risk-based approach to conducting compliance monitoring activities.
  • Ability to travel up to 10% of the time.
  • Willingness to work on site at least 6 days/month

  • Chief Compliance Officer for Investment Funds

    1 week ago

    Kansas City, Missouri, United States SS&C Technologies Holdings Full time

    Job Overview Position: Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | Hybrid Work EnvironmentAbout the Team:This role is pivotal as the Chief Compliance Officer for specific investment company clients. The primary duty is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940, safeguarding compliance...

  • Head of Compliance for Fund Operations

    2 weeks ago

    Kansas City, Missouri, United States SS&C Technologies Holdings Full time

    Job Overview Position: Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | HybridTeam Introduction:This role serves as the Chief Compliance Officer for select investment company clients. The primary duty is to ensure adherence to compliance standards set forth by Rule 38a-1 of the Investment Company Act of 1940.Why Join...

  • Head of Compliance for Mutual Fund Operations

    1 week ago

    Kansas City, Missouri, United States SS&C Technologies Holdings Full time

    Job Overview Position: Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | Hybrid Work ModelAbout the Team:This role serves as the Chief Compliance Officer for select investment company clients. The primary duty is to ensure adherence to compliance regulations as stipulated by Rule 38a-1 of the Investment Company Act of...

  • Chief Compliance Officer

    3 days ago

    Kansas City, Missouri, United States Swope Health Services Full time

    About the RoleSwope Health Services is seeking a highly skilled Chief Compliance Officer to lead our compliance team and drive organizational excellence. As a key member of our leadership team, you will be responsible for ensuring our organization remains compliant with all laws, regulations, and industry standards.Key ResponsibilitiesCollaborate with senior...

  • Fund Regulatory Specialist

    5 days ago

    Kansas City, Missouri, United States SS&C Technologies Holdings Full time

    Job SummaryWe are seeking a highly experienced Chief Compliance Officer to join our team at SS&C Technologies Holdings. 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 Compliance Programs and...

  • Chief Compliance Officer

    1 week ago

    new york city (brooklyn), United States TZ CLEARING Company Full time

    TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

  • Chief Compliance Officer

    5 days ago

    Kansas City, Missouri, United States Swope Health Services Full time

    About the RoleSwope Health Services is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance team and drive organizational excellence. As a key member of our leadership team, you will be responsible for ensuring our organization remains compliant with all relevant laws, regulations, and industry standards.Key...

  • Chief Compliance Officer

    5 days ago

    Culver City, United States Lightspark Full time

    Lightspark is the easiest, most reliable, enterprise-grade gateway to the Lightning Network, enabling money to move just like bits and bytes do on the Internet. Lightspark services aim to be the fastest, lowest cost, easiest and most reliable way to send and receive payments globally using Lightning. We want to deliver open payments for the Internet at scale...

  • Chief Compliance Officer

    5 days ago

    Kansas City, Missouri, United States Children's Mercy KC Full time

    About the RoleChildren's Mercy KC is seeking a highly skilled and experienced Chief Compliance Officer - Privacy and Information Security to join our team. As a key member of our Compliance Department, you will be responsible for ensuring the highest level of compliance with internal policies and external laws and regulations related to privacy and...

  • Chief Financial Officer and Business Services Director

    13 hours ago

    Kansas City, Missouri, United States Center School District 58 Full time

    Job SummaryThe Center School District 58 seeks a highly skilled and experienced Chief Financial Officer and Business Services Director to lead its financial strategic planning, oversee daily operations, and maintain a healthy fund balance.Key ResponsibilitiesDevelop and implement financial strategic plans to ensure the district's financial health and...

  • Chief Legal Officer

    2 weeks ago

    City of Daşşak, United States BridgePoint Associates Full time

    Chief Legal OfficerNonprofit Organization Focused on Social and Human ServicesLocation: New York City (Hybrid Work Model)Compensation: $175,000 to $200,000 annually, with potential for negotiation based on qualificationsThis pivotal Chief Legal Officer role within a nonprofit dedicated to social and human services in New York City is now available. The Chief...

  • Regulatory Compliance Officer

    6 days ago

    Kansas City, Missouri, United States 7G Environmental Compliance Management Full time

    About the RoleWe are seeking a highly motivated and detail-oriented Environmental Compliance Specialist to join our team at 7G Environmental Compliance Management. As a Compliance Inspector, you will play a critical role in ensuring our clients' petroleum storage tank systems and related facilities comply with state and federal regulations.Key...

  • Chief of Institutional Funding

    2 weeks ago

    City of Daşşak, United States DREAM Full time

    About DREAMFounded in 1991, DREAM has evolved to support over 2,500 young individuals annually in East Harlem and the South Bronx. Our organization operates seven PreK-12 charter schools and community sports-based youth development initiatives. We are dedicated to fostering rigorous academic achievement, social-emotional growth, and active family and...

  • Chief Compliance Officer

    1 week ago

    Jersey City, New Jersey, United States Verisk Analytics Full time

    Company OverviewAt Verisk Analytics, we envision a world where new possibilities inspire transformative change for a sustainable future. Our analytical solutions integrate content, data, and insights to empower businesses, individuals, and communities to thrive and adapt.Position OverviewIn this pivotal role, you will:Collaborate with Compliance Monitoring...

  • Chief Financial Officer

    4 days ago

    Kansas City, United States Mass Transit Magazine Full time

    Up to $203,000Kansas City Area Transportation Authority’s Chief Financial Officer (CFO) is responsible for overseeing and serving as the primary decision maker on all financial matters including general finance, procurement, grants, inventory control, self-insurance, audits, salaried and union pension plans, operating and capital budgets, and all federal...

  • Chief Financial Officer

    5 days ago

    Kansas City, United States Mass Transit Magazine Full time

    Up to $203,000Kansas City Area Transportation Authority’s Chief Financial Officer (CFO) is responsible for overseeing and serving as the primary decision maker on all financial matters including general finance, procurement, grants, inventory control, self-insurance, audits, salaried and union pension plans, operating and capital budgets, and all federal...

  • Chief Financial Officer

    3 weeks ago

    Kansas City, United States KCATA Full time

    Kansas City Area Transportation Authority’s Chief Financial Officer (CFO) is responsible for overseeing and serving as the primary decision maker on all financial matters including general finance, procurement, grants, inventory control, self-insurance, audits, salaried and union pension plans, operating and capital budgets, and all federal financial...

  • Compliance Officer

    1 week ago

    new york city, United States Cardea Group Full time

    Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

  • Chief Financial Officer

    4 weeks ago

    Kansas City, United States Kansas City Area Transportation Authority Full time

    Job DescriptionJob DescriptionKCATA has engaged Krauthamer & Associates (“K&A”), a retained executive search firm, to assist with the recruitment of the CFO. Interested parties should contact Gregg Moser, Partner at K&A, via email at gmoser@kapartners.com to obtain more information or to apply for the position with an attached resume.GENERAL...

  • Chief financial officer

    5 days ago

    Kansas City, United States TriMet Full time

    KCATA has engaged Krauthamer & Associates (“K&A”), a retained executive search firm, to assist with the recruitment of the CFO. Interested parties should contact Gregg Moser, Partner at K&A, via email at gmoser@kapartners.com to obtain more information or to apply for the position with an attached resume.GENERAL SUMMARYKansas City Area Transportation...