SS&C
financial services and healthcare technology
SeniorRegulatoryComplianceAnalyst
Neural analysis suggests this role is
optimal for Senior candidates.
“Senior Regulatory Compliance Analyst at SS&C. Skills: Regulatory Compliance, Broker-Dealer Compliance, Mutual Fund Compliance, ETF Compliance, Private Fund Compliance, Sales and Advertising Literature Review. Principal review and approval of sales and advertising literature for assigned. Research regulations and industry developments and create reports for use by”
Industry & Context.
Ability to travel as needed, Willing to work on site 6 days/month
What They're Looking For.
Must Have
Registered Fund advertising review product knowledge, experience in the principal review of mutual fund, ETF and private fund sales, 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 ability to communicate with a wide and varied internal and external audience, Willing to work on site 6 days/month
What You'll Do.
Principal review and approval of sales and advertising literature for assigned
Research regulations and industry developments and create reports for use by
Develop subject-matter expertise and train others across department and ALPS’ client
Other broker-dealer compliance related activities as may be requested
Research and summarize new regulations
Maintain and coordinate procedural updates and other
Other compliance related activities as may be requested
How You'll Work.
Communication Scope
Excellent verbal and written communication skills
Full Job Description
As a leading financial services and healthcare technology company based on revenue, SS&C is headquartered in Windsor, Connecticut, and has 27,000+ employees in 35 countries. Some 20,000 financial services and healthcare organizations, from the world's 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** * 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 complian
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