Compliance Officer - Investment Company
US Bank Global Fund Services
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Job Description
US Bancorp Global Fund Services (Fund Services), a subsidiary of U.S. Bank, is growing and looking for a passionate, focused candidate to join our Regulatory Support Services (RSS) team. Fund Services is focused on servicing a variety of investment strategies and products including mutual funds and ETFs.
This position within RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds (Trusts). This position will assist in the compliance oversight of service providers to the Trusts including numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds within the Trusts. The CCO Support will be primarily responsible for reviewing compliance programs and related documentation of the Trusts’ advisers and conducting site visits (currently being conducted either virtually or in person) to observe the compliance programs in place at the Trusts’ advisers. Other responsibilities include assisting with the preparation of Trust Board reports, issuing, and summarizing various certifications and other tasks as assigned.
Basic Qualifications
Bachelor's degree, or equivalent experience
Eight to ten years of related experience
Preferred Skills
Bachelor's degree in related field, JD or CPA a plus
Eight or more years of experience in a compliance or financial industry related role, preferably securities related
Strong knowledge of federal securities regulations (1940 Act, Advisers Act) a plus
Strong organizational, analytical and project management skills
Ability to manage multiple tasks/projects and deadlines simultaneously
Effective interpersonal, verbal, and written communication skills
Ability to take direction and instructions from multiple sources
Proficient computer skills, especially Microsoft Office applications
Ability to work independently and effectively manage priorities
Team player who can adjust rapidly in response to critical business needs
Approximately 15% travel required