Senior Regulatory Compliance Analyst

SS&C Technologies

Senior Regulatory Compliance Analyst ensuring compliance with financial regulations at a leading financial services technology company. Leading reviews and training for regulatory adherence and reporting.

Posted 5/3/2026full-timeDenver • Colorado, Massachusetts, Minnesota • 🇺🇸 United StatesSenior💰 $45,000 - $105,000 per yearWebsite

About the role

Key responsibilities & impact

Principal review and approval of sales and advertising literature for assigned funds
Research regulations and industry developments and create reports for use by ALPS
Ability to develop subject-matter expertise and train others across department and ALPS’ client base
Maintain and coordinate procedural updates and other information
Other compliance related activities as may be requested

Requirements

What you’ll need

Bachelor’s degree or equivalent
Registered Fund advertising review product knowledge
experience in the principal review of mutual fund, ETF and private fund sales material
knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
experience working in or with broker-dealers and/or investment advisers
experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent
Series 7 and 24 required
ability to research new and existing regulations and clearly summarize
advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
ability to manage multiple tasks simultaneously
ability to work with little supervision
ability to travel as needed
excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
willing to work on site 6 days/month

Benefits

Comp & perks

medical, dental, and vision coverage
a 401(k) plan with company match
paid time off
holidays
parental leave
professional development reimbursement opportunity

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

sales material reviewmutual fund knowledgeETF knowledgeprivate fund knowledgecompliance experienceregulatory researchreport creationprocedural updatesadvertising reviewsubject-matter expertise

Soft Skills

ability to train othersability to manage multiple tasksability to work independentlyexcellent verbal communicationexcellent written communicationability to summarize regulationsorganizational skillsinterpersonal skillsability to traveladaptability

Certifications

Bachelor's degreeSeries 7Series 24