Fund Chief Compliance Officer - HYBRID

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
30+ days ago