Investment Company Compliance Officer
Location: Milwaukee, WI (will consider remote for right candidate)
This position within Regulatory Support Services will serve as 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 primarily virtually due to COVID-19) to observe the compliance programs in place at the Trusts’ advisers. The CCO Support works closely with the MST CCOs, other CCO Support Staff, investment adviser personnel, and other Service Provider personnel. Other responsibilities include assisting with the preparation of Trust Board reports prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services’ clients, and other tasks as assigned.
Basic Qualifications:
- Bachelor's degree, or equivalent experience
- Eight or more years of related experience
Preferred Skills/Experience:
- Bachelor's degree in related field, JD or CPA a plus
- Three 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 (travel is currently suspended in response to COVID-19)