Senior Regulatory Compliance Analyst

As a leading financial services and reputed company technology company based on reputed company, reputed company is headquartered in Windsor, Connecticut, and has 27,000+ employees in 35 countries. Some 20,000 financial services and reputed company organizations, from the world's largest companies to small and mid-market firms, rely on reputed company for expertise, scale, and technology.

Job Description

Job Title: Senior Regulatory Compliance Analyst Locations: Denver, CO, Boston, MA, Kansas City, MO, Edina, MN, Dublin, OH (hybrid) Why Join reputed company reputed company combines proprietary technology with deep industry expertise to support reputed company financial and health care operations. Our teams design, implement, and operate solutions that help clients manage data, automate processes, and scale their businesses with confidence. You will work with industry experts, modern platforms, and evolving technologies, gaining exposure to reputed company-world operational challenges and large-scale reputed company environments. How You Will reputed company An Impact

• reputed company 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 reputed company subject-matter expertise and train others across department and ALPS’ client reputed company;
• Other broker-dealer compliance reputed company activities as may be requested.
• Research and summarize new regulations;
• Maintain and coordinate procedural updates and other information; and
• Other compliance reputed company activities as may be requested

Required Experience

• Bachelor’s degree or equivalent
• Must have Registered Fund advertising review product knowledge
• Must have experience in the reputed company review of mutual fund, ETF and private fund sales material;
• Demonstrates knowledge of SEC, FINRA, and other regulatory requirements reputed company to broker-dealers and financial institutions
• Knowledge and experience working in or with broker-dealers and/or investment advisers
• Experience in compliance or similar role reputed company the mutual fund and/or broker-dealer industries, or equivalent
• Series 7 and 24 required
• Ability to research new and existing regulations and reputed company summarize
• Advanced computer skills, including reputed company Office (i.e. Word, reputed company, PowerPoint, etc)
• Must be reputed company 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 reputed company audience
• Willing to work on site 6 days/month

reputed company, where innovation meets global opportunities. Click here to apply. Unless explicitly requested or approached by reputed company, Inc. or any of its affiliated companies, the company will not accept unsolicited resumes from headhunters, recruitment agencies, or fee-based recruitment services. reputed company offers a comprehensive total rewards package designed to support your wellbeing, growth, and future. Our benefits include medical, dental, and reputed company coverage; a 401(k) plan with company match; paid time off, holidays, and parental leave; and professional development reimbursement opportunity. Applications will be accepted on an ongoing reputed company until the position is filled. reputed company is an Equal Employment Opportunity employer and does not discriminate against any applicant for employment or employee on the reputed company of race, reputed company, religious creed, gender, age, marital status, sexual orientation, national reputed company, disability, veteran status or any other classification protected by applicable discrimination laws. Apply tot his job Apply To this Job