Chief Compliance Officer - Investment Company

U.S. Bank

Base: $143,905.00 - $169,300.00; bonus/equity: not...
Compliance program management
Regulatory examinations management
Team leadership and coaching
U.S. Bancorp Global Fund Services is seeking an experienced professional to serve as Chief Compliance Officer for multiple series trusts containing mutual funds and ETFs

Job Summary

  • U.S. Bancorp Global Fund Services is seeking an experienced professional to serve as Chief Compliance Officer for multiple series trusts containing mutual funds and ETFs.
  • The role involves managing compliance programs, overseeing service providers, participating in MST Board Meetings, and serving as the AML Officer for the assigned Trust.
  • The company offers a comprehensive benefits package designed to support employees' health, financial security, and work-life balance.

Matching Summary

U.S. Bancorp Global Fund Services is seeking an experienced professional to serve as Chief Compliance Officer for multiple series trusts containing mutual funds and ETFs.

Salary

Base: $143,905.00 - $169,300.00; Bonus/Equity: Not specified; Benefits: Comprehensive benefits including healthcare, retirement plans, paid leave, and adoption assistance

Skills & Requirements

Must-have

  • Compliance program management
  • Regulatory examinations management
  • Team leadership and coaching
  • AML compliance oversight
  • Board reporting experience
  • Federal securities regulations knowledge

Nice-to-have

  • Strong organizational skills
  • Client service orientation
  • Project management skills
  • Effective communication skills
  • Collaborative team player
  • Ability to adapt to business needs
  • Proficiency with Microsoft Office

Key Requirements

  • Bachelor’s degree required
  • Master’s degree, JD, or CPA preferred
  • 10+ years compliance or financial industry experience
  • 5+ years team leadership experience
  • Knowledge of Investment Company Act of 1940 and Advisers Act
  • Willingness to travel approximately 15%

Work Rights

Not specified

Tailored Resume

Cover Letter