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Senior Specialist, Compliance

Role Responsibility

Overview:

  • Ensure an effective regulatory compliance service is provided to all areas of SS&C’s business.
  • Assist SS&C in meeting its own regulatory obligations and the relevant commercial obligations SS&C has with its clients.
  • Maintain awareness of and provide analysis of regulatory requirements.
  • Influence Regulators & Trade Bodies on regulatory change and development.
  • Promote high ethical standards within SS&C.

Specific Duties

  • Review regulator and industry body websites to track regulatory change that will impact SS&C and its Client Firms, with a focus on Life & Pensions and Wealth Management
  • Analysis of regulatory publications, responding (where appropriate) to regulator and industry body consultations and discussions.
  • Deliver analysis of regulatory change to internal and external stakeholders on a timely basis.
  • Provide regulatory advice and support on regulatory change to all levels of management and business areas.
  • Support internal and external stakeholders to support projects and agree pragmatic compliant solutions in relation to regulatory change.
  • Provide Regulatory SME Support for projects, client visits & focus groups
  • Provide assistance to the internal and external stakeholders by responding to regulatory queries.
  • Review and maintain Regulatory Compliance Policies, the Corporate Governance Manual and Risk & Compliance Manual.
  • Oversight of compliance with Regulatory Compliance polices, including gifts and benefits, personal account dealing and conflicts of interest.
  • Represent Regulatory Compliance at Client Forums and industry groups.
  • Represent SS&C through engagement with trade associations and industry forums and assist with their lobbying of regulatory bodies.
  • Support Learning & Development in the preparation and delivery of the Regulatory Compliance Training.
  • Production of Compliance information for executive packs.
  • Carry out other tasks as directed by the Line manager and Head of Compliance.

The Ideal Candidate

Essential

  • Understanding of the rules and regulations and how they apply to the SS&C business, including the FCA, HMRC, relevant UK and offshore legislation and SS&C standards and policies.
  • Specialist knowledge of the rules and regulations relating to Collective Investment Schemes, Life & Pensions and Wealth Management.
  • Experience in Financial Services Investment Industry.
  • Attention to detail.
  • Good interpersonal skills.
  • Flexibility to work solo or as a member of a small team within a structured team environment.
  • Strong sense of what’s right and what’s wrong and willingness to challenge and escalate as required.
  • Build strong collaborative relationships.
  • Ability to work and prioritise workload in a highly pressurised environment within tight deadlines.
  • Good understanding of third party administration.
  • Strong organisational and presentation skills.

Desirable: 

  • IOC Merit Award or equivalent.
  • Knowledge of ISA, Unit Trust, OEIC or Investment Trust administration.
  • Understanding of CSSF Luxembourg and CBI Ireland regulations.
  • Understanding of SS&C UK operational activities including associated IT systems and products.
  • Good understanding and working knowledge of SS&C standards and policies.
  • Previous experience of providing Compliance support.
  • Understanding of the Client Money rules.
  • Knowledge of data protection and/or regulatory considerations in the financial services sector.

 

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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