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DST Systems Regulatory Compliance Analyst in Denver, Colorado

The speed of technology. The influx of data. Shifting regulations. Increased customer expectations.

That's where you'll find DST, 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:

Organizational Overview

Through its subsidiary companies, ALPS Holdings, Inc. is a leading provider of innovative investment products and customized servicing solutions to the financial services industry. Founded in 1985, Denver-based ALPS delivers its asset management and asset servicing solutions through offices in Boston, Dallas, Miami, New York, San Francisco, Seattle, and Toronto. ALPS is a wholly owned subsidiary of Kansas City-based DST Systems, Inc. For more information about ALPS and its services, visit www.alpsinc.com. Information about ALPS’ products is available at www.alpsfunds.com.

Role Overview

The Fund Compliance Analyst will take ownership in conducting compliance monitoring for ALPS and its fund clients, ensuring that their product offerings are within compliance and adhere to regulations set forth in the Financial Services Industry. You will be given the opportunity to interact directly with clients and provide ongoing updates in relation to their funds. The Analyst will work closely with our internal fund accounting and fund admin teams in analyzing and interpreting fund data. The ideal candidate will be a strong communicator and offer exceptional data analytic abilities

Responsibilities

  • Review and monitor daily and monthly post trade mutual fund prospectus/SAI/SEC investment restrictions (50%)

  • Perform certain administrative duties associated with CCO activities and compliance oversight (35%)

  • Aide in the Administration of Code of Ethics Reporting

  • Prepare regulatory SEC filings

  • Coordinate the onboarding process of new clients, providing exceptional customer service

  • Maintain testing platform with procedural updates and other information

  • Perform duties associated with compliance oversight for mutual fund clients

  • Research and summarize new regulations

  • Maintain and coordinate procedural updates and brainstorm on implementing best practices, under the guidance of your manager

Qualifications

  • Experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent

  • Familiarity of Confluence software is a plus

  • Bachelor’s degree preferred

  • Knowledge of Broker-Dealer, SEC and FINRA regulatory requirements

  • Ability to research new and existing regulations and clearly summarize

  • Must be able to manage multiple tasks simultaneously

  • Ability to work with little supervision

  • Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)

  • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience

Location:

Denver Colorado

DST 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. DST 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.

SS&C DST is a leading provider of specialized technology, strategic advisory, and business operations outsourcing to the financial and healthcare industries. Combining unmatched industry knowledge, critical infrastructure and service excellence, SS&C DST helps companies master complexity in the world’s most demanding industries to ensure they continually stay ahead of and capitalize on ever-changing customer, business and regulatory requirements.

We work with companies in some of the world’s most demanding industries where rapid shifts in consumer, regulatory, and technology trends are increasingly affecting how our clients do business. For them, keeping up in a landscape of constant change is becoming more and more complex. Through our technology, strategic advisory, and business improvement solutions we work with clients to help them stay ahead of and capitalize on customer, business, and regulatory change.

Mastering complexity is not an end-state. It’s 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.

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