Manager of Regulatory Compliance Services at SS&C Technologies in Denver, CO
Job Description:
Role Overview:
Reporting to the VP Compliance Services, this person will manage a small group consisting of the Fund CCO and Post Trade Compliance Services team, working to ensure activities and reporting are in compliance with applicable Federal Securities Laws, pursuant to Rule 38a-1.
Responsibilities:
Manage team resources to ensure appropriate coverage, a strong control environment, and successful delivery of Fund CCO and Post Trade Compliance services including prospective client discussions, costing estimates, project/change management, and overseeing the delivery of services as outlined in service agreements. Assist Fund CCOs in development, implementation and ongoing maintenance/enhancement of Fund and Investment Compliance Programs. Manage program of due diligence visits and risk assessments of various service providers as requested by the Fund Chief Compliance Officers. Oversee reporting to Advisors, Fund CCOs and/or Fund Boards Interact with technology product teams, ensuring production issues and future enhancements opportunities are communicated. Monitor and review new laws and regulations that may affect SS&C ALPS or its clients.
Qualifications:
Must have 5
years of Compliance experience in the asset management/mutual fund industry, ideally focused on Investment Advisor Compliance, Fund 38a-1 Oversight Programs, and/or Investment Compliance Programs. Experience managing a team of experienced compliance professionals. Knowledge of securities regulatory requirements and operating policies for Registered Investment Companies and their service providers (e.g. transfer agents, fund administrators, distributors, custodians, etc.). Must have experience working with investment advisers, transfer agency, fund accounting, and industry-related systems and technology. Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience. Ability to travel up to 15% of the time. Compensation:
The compensation range for this position is $90,000 to $110,000. (This position is eligible to participate in a company bonus plan and stock program .
Benefits:
SS&C offers a comprehensive benefits package including:
Medical, Dental & Vision; HSA & FSA; Life & Disability; Accident, Hospital & Critical Illness; Flexible, Sick and Holiday Paid Time Off; 401(k) with Company Match; Employee Assistance Plan; Education Assistance; Professional Development and Employee Discounts.
Salary Range:
$80K -- $150K
Minimum Qualification
HR Management, Legal & RegulatoryEstimated Salary: $20 to $28 per hour based on qualifications.
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