SVP And Director Of Compliance

Ss&C Technologies Denver , CO 80208

Posted 2 months ago

The speed of technology. The influx of data. Shifting regulations. Increased customer expectations.

That's where you'll find SS&C, helping clients find opportunity in ever-changing and complex customer, business, and regulatory requirements. Mastering complexity is a constantly changing and evolving challenge - one that only a few people can embrace and thrive upon.

If you see your opportunity in complexity, then we are the right fit for you.

Job Description:

SS&C ALPS is a leading Registered Fund Services provider in the financial services industry. Founded in 1985, Denver-based SS&C ALPS, with offices in Boston, Dallas, Miami, New York, San Francisco, Seattle, and Toronto also delivers asset management and asset servicing solutions through ALPS Advisors, Inc., a wholly-owned subsidiary of SS&C Technologies, Inc.

Job purpose:

This position is based in Denver, CO, reports to President and will serve in overseeing ALPS Compliance and Distribution Services; each growing and separately identifiable service lines within SS&C ALPS. This position is also critical in providing clients with assurance that processes and controls associated with the services provided by SS&C ALPS are operating effectively. Any issues identified will be addressed by the Director of Compliance.

Key responsibilities and accountabilities:

Business Development

  • Coordinate efforts with Corporate Sales and Marketing to drive new business and identify opportunities to develop new services.

Oversee Broker-Dealer Activities and Services

  • Oversee Broker-Dealer activities of broker-dealer CCO who is responsible for registered rep licensing/administration, fund client advertising & sales literature review/approval, intermediary due diligence, rep communications with the public, branch office supervision, ETF order taking, contract administration, intermediary consulting, and intermediary payments & reporting.

Oversee Fund CCO Services

  • Oversee compliance monitoring activities of Fund CCOs and supporting staff associated with Fund CCO Services. Participate and support various reporting and due diligence efforts associated with Fund CCO Services.

Oversee Compliance Administration Services

  • Oversee compliance services bundled as part of Fund Administration Service arrangements. Services include portfolio investment restriction monitoring, portfolio risk analytics, and code of ethics administration.

Oversee Internal Audit and Risk Management

  • Oversee coordination of engagements, communication of results, and management of risk management efforts within ALPS to various external constituents, where applicable.

Develop Service Line Alliances with other DST Affiliates

  • Identify opportunities to co-develop and/or cross sell services with/through other DST affiliated entities.

Provide Clients with 38a-1 Assurances

  • Provide clients with quarterly assurance representations related to applicable services provided by SS&C ALPS, Inc. based, in part, on results of ongoing Internal Audit and Risk Management efforts (see above).

Budget Planning and Staffing

  • Meet with President on a monthly basis to address budget planning and staffing needs driven by new business and strategic directives.

Coordinate SEC and FINRA Regulatory Examinations

  • Coordinate communications and production of information associated with any SEC related regulatory examinations, reviews, or investigations involving ALPS or its clients.

Knowledge, Skills & Abilities:

  • 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 and other alternative products strongly preferred.

  • Must be able to manage multiple tasks simultaneously.

  • Proven ability to oversee and lead a staff of compliance professionals.

  • Proficient in SEC regulation of the mutual fund industry.

  • 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 15% of the time.

Minimum Education, Certifications and Experience:

  • Minimum ten years experience in compliance or similar role within the mutual fund industry.

  • Leadership experience preferred.

  • Bachelors Degree.

  • Advanced Degree and/or Professional Certifications preferred.


Denver Colorado

SS&C is an equal opportunity employer and values a diverse and inclusive workplace. All qualified candidates will receive consideration for employment without regard to age, race, color, religion, genetic information, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law. For more information about Equal Opportunity in the Workplace please click here and here. SS&C is committed to working with and providing reasonable accommodation to job applicants with disabilities. If you are a qualified individual with a disability and need an accommodation or accessibility assistance to complete the online application, please contact us at for assistance.

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SVP And Director Of Compliance

Ss&C Technologies