Joanne Kane is the Chief Compliance Officer for SS&C’s Global Investor and Distribution Solutions Division (GIDS), US.  Ms. Kane joined SS&C in May of 2023 and is responsible for the full range of compliance initiatives and issues related to 40’ Act mutual funds, alternative investments, retirement plans, and SS&C’s asset management clients.

Ms. Kane has over 35 years of experience in the financial services industry, including extensive knowledge of transfer agency and compliance as well as various Securities and Exchange Commission regulations pertaining to asset managers. Prior to joining SS&C, Ms. Kane served as Chief Industry Operations Officer for the Investment Company Institute where she spent almost 10 years.  Earlier in her career, she held various senior positions including as Vice President of Transfer Agent Governance and Administration for Columbia Management Investors Services, Corp. and as Assistant Vice President of Transfer Agent Compliance with IXIS Asset Management Services. Ms. Kane graduated Magna Cum Laude from Providence College with a BS degree in finance. 

Jim is a vice president within the Compliance Department at MFS Investment Management® ("MFS"). In this capacity, he oversees the compliance activities related to the firm's Anti-Money Laundering ("AML") and Economic Sanctions compliance programs for MFS®, as well as overall distribution compliance for the Americas.

Jim joined MFS® in 2018. He was previously a senior manager at both Ernst & Young LLP and Deloitte & Touche LLP. During that time, Jim assisted clients with AML matters, such as the remediation of internal control breakdowns, execution of internal audits, performance of compliance testing activities, and advised on the interpretation and implementation of new or changing AML-related rules to the industry. Prior to those roles, Jim was the service center director at Natixis Asset Management and Scudder Investments.

Jim earned a Bachelor of Arts degree from the University of Massachusetts – Amherst, as well as a Master of
Business Administration degree from Bentley University.

Roxanne has 28 years’ experience in transfer agency operations. For the last 23 years, she has held various management positions focused on financial control functions. In her current role, Roxanne oversees risk management functions for Invesco Investment Services, Inc. (IISI), the transfer agent for the Invesco Funds and Invesco Canada Limited, the transfer agent for the Invesco Canada Funds. In this role, she is focused on identifying, evaluating and mitigating risk to the Transfer Agents. Risk-related areas of oversight include fraud prevention, privacy, data security, internal controls, vendor management, omnibus dealer auditing and short-term trade monitoring.