[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