Senior Regulatory Compliance Analyst

Senior Regulatory Compliance Analyst

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 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 Technologies offers a comprehensive total rewards package designed to support your wellbeing, growth, and future. Our benefits include medical, dental, and vision coverage; a 401(k) plan with company match; paid time off, holidays, and parental leave; and professional development reimbursement opportunity.

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.