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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

Since its inception in 1985, ALPS has evolved from its modest beginnings of servicing a single bank mutual fund client into a full-service provider to the investment management industry. Now, with more than 660 employees, over 400 clients, and an executive team that’s been in place for over 20 years, ALPS continues to actively promote all of its various business segments – from asset servicing through ALPS Fund Services to asset gathering through ALPS Distributors and ALPS Advisors. With a combination of expertise in a broad range of products and a culture built around the founders’ encouragement to “Do Things Right”, ALPS is uniquely positioned in the industry to help its clients’ structure, service and distribution of all product types.

Role Overview

The Compliance Services Analyst will support the Fund Compliance Manager and Chief Compliance Officers by assisting with and conducting compliance monitoring activities for various funds’ service providers, including but not limited to, investment advisers, custodians, transfer agents, administrators, etc. so as to ensure activities are appropriately controlled and in compliance with applicable Federal Securities Laws, pursuant to Rule 38a-1.

Working under the direction of the Fund Compliance Manager you will provide ongoing support to a variety of financial companies. The Compliance Services Analyst will work closely with internal teams in analyze and interpret more fund data prior to it being released to our clients. The ideal candidate will be a strong communicator and offer exceptional data analytic abilities.

Responsibilities

  • Perform and/or review Compliance monitoring activities and testing as outlined in assigned Fund Compliance Programs and Oversight Procedures

  • Serve as primary liaison with service providers and assist regulators and consultants by requesting and/or providing information necessary to conduct regulatory compliance reviews and examinations

  • Assist in the creation of quarterly and annual written reports to the respective Fund Boards

  • Complete Code of Ethics monitoring for various Registered Investment Companies

  • Maintain and update assigned Fund Compliance Programs and risk assessments

  • Report to the Manager/Deputy CCO on day-to-day activities and escalate all material deficiencies

  • Review new laws and regulations that may affect ALPS or its clients and evaluate the impact of those changes

  • Lead quarterly calls with clients (typically investment advisers) regarding regulatory updates and adviser-related topics

  • Take on additional ad-hoc duties as requested

Qualifications

  • Bachelor’s degree required

  • Knowledge of securities regulatory requirements and limitations, and operating policies for Registered Investment Companies and other service providers (i.e. investment advisers, transfer agents, fund administrators, distributors, custodians, etc.)

  • Must be able to manage multiple tasks simultaneously.

  • Ability to work independently

  • 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

  • Knowledge and experience working with investment advisers, transfer agency, fund accounting, and industry-related systems preferred.

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 is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, manage and account for their investments using SS&C's products and services.

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