The speed of technology. The influx of data. Shifting regulations. Increased customer expectations.
That's where you'll find SS&C, helping clients find opportunity in ever-changing and complex customer, business, and regulatory requirements. Mastering complexity is a constantly changing and evolving challenge – one that only a few people can embrace and thrive upon.
If you see your opportunity in complexity, then we are the right fit for you.Job Description:
The Compliance Director will be responsible for ensuring that operational procedures comply with relevant federal and state laws and aligned with corporate policies. The Director will assist with designing and implementing operational products and services in response to regulatory changes. They will monitor compliance with state and federal securities laws, work with regulatory agencies and internal/external legal staff to resolve compliance issues, and provide oversight and training to management staff. This role will lead the mutual fund compliance function through managers and acts as liaison between the relationship management team and core operations on compliance items. The Director will conduct client presentations regarding AML due diligence obligations, Unclaimed Property Administration services, Trade Surveillance, Tax Reporting, general compliance matters and new products and services as appropriate.
- Administer and oversee review of fund and shareholder account activity to detect any potential compliance problems.
- Research, analyze, understand and interpret the impact of new/changing legislative and regulatory requirements affecting the industry.
- Work with relevant enterprise partners, business lines and operational personnel to develop and implement appropriate products and/or services when needed
- Represent and advocate for our clients at Regulatory and industry committee meetings.
- Interact with regulatory bodies, industry advocates as needed to clarify and/or verify accuracy of interpretations
- Provide oversight over all mandated policies, procedures and practices relevant to the businesses and the operational process in place to support the control environment.
- Collaborate with Internal Audit for periodic and annual third party reviews/ audits and Internal procedural reviews relating to Compliance Operations
- Create and deliver proactive communications, and support to clients and associates on all legislative and regulatory matters as needed, including new business development, emerging industry changes, potential product and service opportunities as well as due diligence meetings.
- Provide support for presentation materials for Committee meetings and/or Board meetings as requested.
- 10 – 15 years of experience in a compliance/regulatory related position or industry related experience, including 7 years in a leadership/management role.
- Thorough knowledge of financial services rules and regulations.
- Knowledge of transfer agent regulations a plus.
- Solid understanding of compliance risk management and best practices.
- Preferred knowledge of and experience with Investment Company Act 1940
- Excellent problem solving, analytical ability, oral and written communication skills.
- Strong organizational skills and good attention to detail
- Ability to handle stressful situations with internal and external clients and with regulators, while maintaining a professional approach to problem solving.
- Ability to effectively deal with senior management
- Strong interpersonal skills to influence and impact business decisions
- Bachelor's Degree required
SS&C is an equal opportunity employer and values a diverse and inclusive workplace. All qualified candidates will receive consideration for employment without regard to age, race, color, religion, genetic information, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law. For more information about Equal Opportunity in the Workplace please click here and here. SS&C is committed to working with and providing reasonable accommodation to job applicants with disabilities. If you are a qualified individual with a disability and need an accommodation or accessibility assistance to complete the online application, please contact us at PeopleCenter@dstsystems.com for assistance.
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