Regulatory Compliance Manager
Company: SS&C Technologies
Posted on: September 23, 2022
The speed of technology. The influx of data. Shifting
regulations. Increased customer expectations.That's where you'll
find SS&C, 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:Role Overview The Regulatory Compliance
Manager is responsible for managing direct reports responsible for
ensuring the companys product, services, and business offerings are
compliant client expectations and regulatory requirements. The
Manager oversees the timely and accurate resolution/completion of
all transactions within established quality, productivity and
- Manages and provides leadership to department personnel. Plans
adequate staffing levels, promotes training and development and
assures compliance with company human resources management
- Interfaces with all levels of personnel at assigned client(s)
on a regular basis. Identifies and responds to sensitive client
issues and problems; resolves issues through communication with
team members, other departments, explaining procedures or systems
capabilities. Escalates highly complex problems having significant
impact on financials or client relationship as needed.
- Manages daily workflow/prioritization. E nsures all functions
are performed efficiently, on a timely basis and meet quality and
productivity standards. Reviews current operating procedures, makes
revisions and implements changes. Handles special requests and/or
exception items, escalating highly sensitive items as needed.
- Participates in the development and achievement of department
goals in conjunction with upper management; implements strategies
and procedures to improve service levels, productivity, and the
cost effectiveness of department operations; monitors results and
keeps management informed.
- Ensures training and development of department personnel.
Monitors associates' progress; evaluates and adjusts group training
needs as necessary; provides frequent and regular feedback to
direct reports. Participates in the creation of, and enhancements
to, associate development plans.
- Works with Sales Team and participates in the cycle for
attaining new business for the organization.
- Accountable for analyzing and identifying regulatory,
financial, and operational risk for the organization.
- Participates in client visits and due diligence meetings
- Represents the interests of the company in various
industry-related focus groups, steering committees, and advisory
groups. May also be required to speak at or compose documentation
for industry conferences, client/product conferences, or
- Develops short- and long-term business plans consistent with
the needs and priorities of the business and its
- Bachelor's Degree or equivalent combination of formal education
and work experience.
- 3 - 5 years transfer agency or related industry experience,
including at least 2 years management experience.
- Thorough knowledge of transfer agency operations policies,
procedures and legals.
- Detailed knowledge of system capabilities and
- Working knowledge of financial services industry
- Leadership skills utilized to effectively monitor and develop
team members to ensure smooth operations of department, including
training, evaluation and communication of expectations,
requirements and results, and ensuring implementation and
consistent application of corporate policies, procedures, and
- Ability to listen and communicate clearly and effectively, both
verbally and in writing, in order to present, discuss and advise
client(s), team members, upper management and other departments.
Presentation skills are required to participate in client visits
and presentations.Decision making, prioritization and delegation
skills are required to effectively manage daily operations.
Planning and goal setting skills are required to ensure highest
client service levels are provided.Location:Kansas City
MissouriSS&C 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
SS&C 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.
Keywords: SS&C Technologies, Quincy , Regulatory Compliance Manager, Executive , Quincy, Massachusetts
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