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
- 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 (Word, Excel, PowerPoint, etc)
- Ability to manage multiple tasks simultaneously
- Ability to work with little supervision
- Able to travel as needed
- Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
- Willing 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 (Word, Excel, PowerPoint, etc)
Skills
- Ability to research new and existing regulations and clearly summarize
Benefits
SS&C offers a comprehensive total rewards package including medical, dental, and vision coverage; a 401(k) plan with company match; paid time off, holidays, and parental leave; and professional development reimbursement opportunity.
Pay
Details on pay are not specified in the job posting.
Schedule
Details on schedule are not specified in the job posting.
Benefits
Details on benefits are not specified in the job posting.
Pay
Details on pay are not specified in the job posting.
Schedule
Details on schedule are not specified in the job posting.
Benefits
Details on benefits are not specified in the job posting.
Pay
Details on pay are not specified in the job posting.
Schedule
Details on schedule are not specified in the job posting.
Benefits
Details on benefits are not specified in the job posting.