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    Senior Regulatory Compliance Analyst - Denver, United States - SS&C Technologies

    SS&C Technologies
    SS&C Technologies Denver, United States

    2 weeks ago

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    Description

    SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, manage and account for their investments using SS&C's products and services.

    Job Description

    Senior Regulatory Compliance Analyst

    Location: Denver, CO; Boston, MA; Kansas City, MO; Miami, FL; Edina, Minnesota; Dublin, OH | Hybrid

    Get to Know the Team:

    Senior Regulatory Compliance Analysts conduct principal reviews and approvals of registered fund and private-placement sales and advertising materials. They demonstrate in-depth industry knowledge and anticipate changes in regulations and industry practices.

    What You Will Get to Do:

    • 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
    What You Will Bring:
    • 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
    Thank you for your interest in SS&C To further explore this opportunity, please apply through our careers page on the corporate website at

    #LI-Hybrid

    #LI-RS1

    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. SS&C offers excellent benefits including health, dental, 401k plan, tuition and professional development reimbursement plan. 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.

    Salary is determined by various factors including, but not limited to, relevant work experience, job related knowledge, skills, abilities, business needs, and geographic regions.

    Colorado: Salary range for the position: $80,000 USD to $100,000 USD.
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