Compliance Officer

U.S. Bank

At U.S. Bank, we're passionate about helping customers and the communities where we live and work. As the fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, disability or veteran status, among other factors. We offer a competitive, comprehensive compensation and benefits package.

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.

Description:

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.

Qualifications, Preferred Skills and Experience

• 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, collaborative, analytical and project management skills

• Ability to manage multiple tasks/projects and deadlines simultaneously

• Strong interpersonal skills; ability to develop excellent client relationships

• Effective 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

• Position located in Milwaukee, WI but will consider remote for right candidate

Job requisition #2023-0031969