Senior Regulatory Compliance Analyst

Job Title

About the role

SS&C is a leading financial services and healthcare technology company headquartered in Windsor, Connecticut, with 27,000+ employees in 35 countries. SS&C supports complex financial and health care operations through proprietary technology and deep industry expertise.

Responsibilities

• Principal review and approval of sales and advertising literature for assigned funds
• Research regulations and industry developments and create reports for use by ALPS
• Develop subject-matter expertise and train others across department and ALPS' client base
• Develop and maintain procedural updates and other information
• Perform other broker-dealer compliance related activities as requested
• Research and summarize new regulations
• Maintain and coordinate procedural updates and other information
• Perform other compliance related activities as requested

Requirements

• Bachelor’s degree or equivalent
• Registered Fund advertising review product knowledge
• Experience in the principal review of mutual fund, ETF and private fund sales material
• Knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
• Experience in compliance or similar role within the mutual fund and/or broker-dealer industries
• Series 7 and 24 required
• Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
• Ability to manage multiple tasks simultaneously
• Ability to work with little supervision
• Ability to travel as needed
• Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
• Willingness to work on-site 6 days/month

Qualifications

• Must have Registered Fund advertising review product knowledge
• Must have experience in the principal review of mutual fund, ETF and private fund sales material
• Must demonstrate knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
• Must have experience in compliance or similar role within the mutual fund and/or broker-dealer industries
• Must have Series 7 and 24 required
• Must have advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
• Must be able to manage multiple tasks simultaneously
• Must be able to work with little supervision
• Must be willing to travel as needed
• Must have excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
• Must be willing to work on-site 6 days/month

Skills

• Regulatory compliance
• Financial services
• Healthcare technology
• Investment advisory
• Regulatory research
• Training and education

Benefits

• Medical, dental, and vision coverage
• 401(k) plan with company match
• Paid time off, holidays, and parental leave
• Professional development reimbursement opportunity

Pay

Compensation is competitive and commensurate with experience.

Schedule

The role is available in various locations including Denver, CO, Boston, MA, Kansas City, MO, Edina, MN, and Dublin, OH with a hybrid schedule.