Fund Chief Compliance Officer - HYBRID

SS&C Technologies Holdings; Union (NJ); Hybrid; USD 130,000 - 180,000; Full time

Job summary

A leading company is seeking a Chief Compliance Officer to ensure compliance with regulatory requirements for investment clients. The role involves maintaining compliance programs, conducting audits, overseeing service provider due diligence, and reporting to board members. Candidates should have at least 10 years of experience in the mutual fund industry and demonstrate advanced knowledge of SEC regulations.

Benefits

401k Matching Program

Professional Development Reimbursement

Flexibility with Work Life Balance

Medical, Dental, Vision Benefits

Parental Leave

Discounts on fitness clubs and travel

Qualifications

• Minimum 10 years' experience in compliance within mutual funds.
• Supervisory experience preferred.
• Advanced knowledge of regulatory requirements and operating policies.

Responsibilities

• Oversee compliance programs and report to Fund Boards.
• Conduct due diligence visits and assess service providers.
• Liaise with clients and assist regulators with compliance reviews.

Skills

Regulatory Knowledge

Communication Skills

Project Management

Education

Bachelor's Degree

Advanced Degree or Professional Certifications

Tools

Microsoft Office

Job description

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