Senior Regulatory Compliance Analyst

As a leading financial services and healthcare technology company based on revenue SS&C is headquartered in Windsor Connecticut and has 27000 employees in 35 countries. Some 20000 financial services and healthcare organizations from the worlds largest companies to small and mid-market firms rely on SS&C for expertise scale and technology.

Job Description

Job Title: Senior Regulatory Compliance Analyst

Locations: Denver CO Boston MA Kansas City MO Edina MN Dublin OH (hybrid)

Why Join SS&C

SS&C combines proprietary technology with deep industry expertise to support complex financial and health care operations. Our teams design implement and operate solutions that help clients manage data automate processes and scale their businesses with confidence.

You will work with industry experts modern platforms and evolving technologies gaining exposure to real-world operational challenges and large-scale enterprise environments.

How You Will Make an Impact

• 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

Required Experience

• Bachelors 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

SS&C where innovation meets global opportunities. Click here to apply.

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Unless explicitly requested or approached by SS&C Technologies Inc. or any of its affiliated companies the company will not accept unsolicited resumes from headhunters recruitment agencies or fee-based recruitment services.

Applications will be accepted on an ongoing basis until the position is filled.

SS&C Technologies is an Equal Employment Opportunity employer and does not discriminate against any applicant for employment or employee on the basis of race color religious creed gender age marital status sexual orientation national origin disability veteran status or any other classification protected by applicable discrimination laws.