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Compliance New Business Senior Specialist

Role Responsibility

  • To provide regulatory technical support for SS&C’s new business initiatives across all business lines including new client take-ons, new products and client change projects 
  • To conduct pre go-live assurance reviews for significant change projects 
  • To support the Sales process with Compliance SME advice and guidance
  • To promote high ethical standards within SS&C
  • To assist SS&C in meeting its own regulatory obligations and the relevant commercial obligations SS&C has with its' clients

Area/Sub-Function:

  • Provide regulatory advice and technical support for SS&C’s new business initiatives, acting as the Compliance SME for projects across all business lines (funds, wealth, life and pensions)
  • To deliver pre go-live assurance reviews for significant change projects as part of second line of defence activities to support the continued regulatory compliance of  SS&C UK, Ireland and Luxembourg entities
  • Meet with Senior Management to discuss report recommendations and evidence exceptions
  • Support the Sales process for new client pitches, providing Compliance advice and support on RFPs, solution design and sales presentations as necessary.
  • Support discussions with existing clients on new business initiatives relating to their businesses
  • Produce regulatory analysis of regulatory change items published by the FCA or HMRC that relate to the potential expansion of SS&C’s existing services   
  • To provide support to other members of the Risk, Compliance and Data Protection team when required
  • Undertake Compliance projects and any ad hoc additional tasks as required by the Director, Compliance Monitoring

The Ideal Candidate

Essential:
 

  • Significant experience in Compliance and/or Internal Audit roles within a Financial Services or Information Technology organisation
  • Excellent understanding of relevant UK rules and regulations and how they apply to the relevant SS&C businesses ( FCA, HMRC, AML and JLMSG, relevant UK & EU legislation)
  • Strong understanding and experience of at least two of the three main areas of SS&C’s business: Funds, Wealth Management or Life and Pensions, either from an oversight or operational perspective, including detailed knowledge of relevant operating models,products and regulation
  • Good understanding of Corporate Services (Finance, HR, Legal, Risk and Compliance etc) and Information Technology/Information Security related key risks, controls and best practice governance for consideration in the completion of second line assurance reviews
  • Excellent attention to detail
  • Excellent inter personal skills
  • Excellent organisational skills
  • Flexibility to work solo or as a member of a team within a structured team environment
  • Basic keyboard skills including extensive knowledge and use of MS office packages

Desirable:

  • Good understanding of SS&C UK operational activities including associated IT systems and products
  • Good understanding and working knowledge of SS&C standards and policies
  • Understanding of CSSF Luxembourg and CBI Ireland regulations
  • Previous experience of providing Compliance support for Sales opportunities, including support for RFPs, client pitches, solution design etc
  • Understanding of new technologies such Digital, Robotics and Distributed Ledger Technology

Package Description

  • Flexible Holiday Allowance
  • Life Assurance (4 x salary)
  • Private Healthcare 
  • Flex benefits scheme

About the Company

SS&C (formerly known as DST) is a global provider of investment and financial services as well as 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 organisations, from the world's largest institutions to local firms, manage and account for their investments using SS&C's products and services.
All offers of employment at SS&C are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.

SS&C

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