Fund Controller

DST Systems   •  

Denver, CO

11 - 15 years

Posted 157 days ago

Job Description:

Organizational Overview

Since its inception in 1985, ALPS has evolved from its modest beginnings of servicing a single bank mutual fund client into a full-service provider to the investment management industry. Now, with more than 660 employees, over 400 clients, and an executive team that’s been in place for over 20 years, ALPS continues to actively promote all of its various business segments – from asset servicing through ALPS Fund Services to asset gathering through ALPS Distributors and ALPS Advisors. With a combination of expertise in a broad range of products and a culture built around the founders’ encouragement to “Do Things Right”, ALPS is uniquely positioned in the industry to help its clients’ structure, service and distribution of all product types.

Role Overview

ALPS offers a full-service partnership approach to a select group of clients (including mutual funds, closed-end funds, ETFs and alternative investment funds) looking for truly customized service. We offer turn-key capabilities that anchor all of the diverse resources needed to run a full-service mutual fund complex.  The Fund Controller will be part of the Fund Administration team and will oversee all administration services and act as a primary client contact for a group of clients. Fund Controllers perform in a high-level contributor role demonstrating expertise in the mutual fund industry, multiple lines of business, business processes and the customers’ business. 

Responsibilities

  • Responsible for overall management of the financial reporting process, including coordination of annual audits with independent accountants. Review annual and semi-annual reports and ensure compliance with GAAP reporting requirements.  Review and/or prepare supporting information for SEC filings (e.g., N-SAR, N-CEN, N-CSR, N-Q, 24F-2, N1-A)
  • Prepare and/or review Board reports and assist in the renewal of client’s Fidelity and E&O insurance policies.  May attend Board of Director meetings for fund clients as a representative of ALPS
  • Review and approve annual operating expense budgets, monthly expense payments (including 12b-1payments from the Funds) and monitor budgeted verses actual expenses
  • Monitor fund expense ratios and make sure they are in line with the projected budget
  • Coordinate with internal teams at ALPS to facilitate implementation of new industry regulations or special projects for client initiatives and provide general assistance to clients on accounting and reporting matters
  • May serve in an officer capacity for fund complexes, including as Principal Financial Officer in which Sarbanes-Oxley certifications are required
  • Managerial responsibilities, including hiring, conducting performance appraisals, career planning and administering disciplinary actions. 
  • Other managerial duties may include ensuring accurate client billing, internal management reporting, enforcing company policies and procedures, and recommending enhancements to internal business processes, policies & procedures. 

Qualifications

  • Bachelor’s Degree in Accounting, Finance, or Business Management or equivalent business experience
  • 10+ years accounting and/or business experience in registered investment company industry preferred
  • CPA a plus
  • Excellent attention to detail and accuracy
  • Exceptional written and verbal communication skills
  • Strong multi-tasking and organizational skills
  • Strong technical knowledge of mutual fund financial reporting and mutual fund accounting (including U.S. GAAP, Regulation S-X and Form N1-A requirements)
  • Computer experience (Word, Excel, Microsoft Outlook)
  • Ability to work independently as well as in a team environment

R236153