Senior Regulatory Compliance Analyst

SS&C•Denver, CO

3d•Hybrid

About The Position

SS&C is a leading financial services and healthcare technology company headquartered in Windsor, Connecticut, with over 27,000 employees in 35 countries. They serve approximately 20,000 financial services and healthcare organizations globally. SS&C combines proprietary technology with deep industry expertise to support complex financial and health care operations. The teams design, implement, and operate solutions that help clients manage data, automate processes, and scale their businesses with confidence. This role offers the opportunity to work with industry experts, modern platforms, and evolving technologies, gaining exposure to real-world operational challenges and large-scale enterprise environments.

Requirements

Bachelor’s degree or equivalent
Registered Fund advertising review product knowledge
Experience in the principal review of mutual fund, ETF and private fund sales material
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

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.
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.
Other compliance related activities as may be requested.