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Fund Chief Compliance Officer - HYBRID

Fund Chief Compliance Officer - HYBRID

SS&C Technologies HoldingsUnion, NJ
30+ days ago
Job type
  • Full-time
Job description

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