Note: The job is a remote job and is open to candidates in USA. SS&C Technologies is a leading financial services and healthcare technology company headquartered in Windsor, Connecticut. The Senior Regulatory Compliance Analyst will review and approve sales literature, research regulations, and develop expertise to train others while managing compliance-related activities.
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
- Ability to develop subject-matter expertise and train others across department and ALPS’ client base
- Other broker-dealer compliance related activities as may be requested
- Research and summarize new regulations
- Maintain and coordinate procedural updates and other information; and
- Other compliance related activities as may be requested
Skills
- Bachelor's degree or equivalent
- Must have Registered Fund advertising review product knowledge
- Must have experience in the principal review of mutual fund, ETF and private fund sales material
- Demonstrates knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
- Knowledge and experience working in or with broker-dealers and/or investment advisers
- Experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent
- Series 7 and 24 required
- Ability to research new and existing regulations and clearly summarize
- Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
- Must be able 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
- Willing to work on site 6 days/month
Benefits
- Medical, dental, and vision coverage
- A 401(k) plan with company match
- Paid time off, holidays, and parental leave
- Professional development reimbursement opportunity
Company Overview