[Remote] Senior Regulatory Compliance Analyst
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. They are seeking a Senior Regulatory Compliance Analyst to review and approve sales and advertising literature, research regulations, and develop subject-matter expertise within the compliance department.
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