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.
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.
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:
Oversee Broker-Dealer Activities and Services
Oversee Fund CCO Services
Oversee Compliance Administration Services
Oversee Internal Audit and Risk Management
Develop Service Line Alliances with other DST Affiliates
Provide Clients with 38a-1 Assurances
Budget Planning and Staffing
Coordinate SEC and FINRA Regulatory Examinations
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.
Advanced Degree and/or Professional Certifications preferred.
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 PeopleCenter@dstsystems.com for assistance.