Job Description
Title : Fun Chief Compliance Officer - HYBRID
Location : Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ Hybrid
Get to Know The Team :
This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940.
Why You Will Love It Here!
- Flexibility : Hybrid Work Model & a Business Casual Dress Code, including jeans
- Your Future : 401k Matching Program, Professional Development Reimbursement
- Work / Life Balance : Flexible Personal / Vacation Time Off, Sick Leave, Paid Holidays
- Your Wellbeing : Medical, Dental, Vision, Employee Assistance Program, Parental Leave
- Diversity & Inclusion : Committed to Welcoming, Celebrating and Thriving on Diversity
- Training : Hands-On, Team-Customized, including SS&C University
- Extra Perks : Discounts on fitness clubs, travel and more!
What You Will Get To Do : :
Oversee maintenance of, and updates to, assigned funds’ Compliance Programs and Summaries of Service Provider Procedures.
This shall include reporting any material changes in policies and / or procedures of the funds or its service providers to the respective Fund Boards.
- Develop and oversee maintenance of, and updates to, assigned all product risk assessments.
- Provide and present regular, quarterly reports to assigned Funds’ Boards of directors / trustees. This shall include an annual written report to the Fund Boards.
- Participate with Internal Audit in the coordination of fund level risk assessments of various services provided by ALPS and other service providers.
- Perform on-site due diligence visits to services providers of assigned funds including, but not limited to, investment adviser, sub-adviser, transfer agent, fund administrator, fund accounting agent, distributor and custodian.
- Work with outside counsel, fund counsel, and ALPS in-house counsel to monitor for and identify proposed and / or final regulatory actions that could impact the funds.
- Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support to clients of ALPS.
- Assist regulators and consultants by providing requested information necessary to conduct regulatory / compliance reviews and examinations of the funds assigned.
- Other activities and projects as may be requested.
What You Will Bring :
- Minimum 10 years’ experience in compliance or similar role within the mutual fund industry.
- Supervisory experience preferred.
- Bachelors Degree or equivalent experience and Advanced Degree and / or Professional Certifications preferred.
- Must have advanced knowledge of regulatory requirements and limitations, and operating policies for mutual fund service providers (i.
e. investment adviser, custody, distribution, fund accounting agent, transfer agent, fund administration).
- Must have advanced knowledge of and practical experience in the application of 1940 Act and Investment Adviser Act regulatory requirements.
- Specific experience with exchange traded funds (ETFs) and other alternative products strongly preferred.
- Must be able to manage multiple tasks simultaneously.
- Proficient in SEC regulation of the mutual fund industry (strong understanding of FINRA preferred).
- Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc.), electronic project management applications and online procedural management systems.
- Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience including, but no limited to, executive management, regulators and mutual fund clients.
- Familiarity with risk-based approach to conducting compliance monitoring activities.
- Ability to travel up to 10% of the time.
- Willingness to work on site at least 6 days / month
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