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US Bancorp Fund Services
Milwaukee, WI | Full Time
$126k-175k (estimate)
1 Month Ago
The Symicor Group
Milwaukee, WI | Full Time
$94k-130k (estimate)
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U.S. Bank
Milwaukee, WI | Full Time
$131k-171k (estimate)
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U.S. Bank National Association
Milwaukee, WI | Full Time
$122k-161k (estimate)
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Chief Compliance Officer - Investment Company
$126k-175k (estimate)
Full Time 1 Month Ago
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US Bancorp Fund Services is Hiring a Chief Compliance Officer - Investment Company Near Milwaukee, WI

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description This position within RSS will serve as Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible for: Maintaining the MST’s compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance Compliance oversight of service providers to the MST, specifically 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 Reviewing compliance programs and related documentation of the MST’s service providers and conducting site visits (on-site or virtually) to observe the compliance programs in place at the MST’s service providers Working closely with other MST Officers and actively participating in MST Board Meetings Overseeing, coaching, and providing feedback on the CCO Support Staff assigned to the MST Acting as the MST anti-money laundering (AML) Officer for their respective Trust Managing the MST’s regulatory examinations Preparing and delivering the MSTs compliance reports, including the 38a-1 annual report The MST CCO partners with the other MST CCOs and MST Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the MST. CCO Support Staff assist the MST CCO in their duties. In addition, the MST CCO may prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services’ clients, work on departmental projects and other tasks as assigned. Basic Qualifications - Bachelor's degree, or equivalent experience - Ten or more years of related experience Preferred Skills - Bachelor's degree in related field with master’s degree/JD or CPA a plus - Eight or more years of experience in a compliance or financial industry related role, preferably in a CCO role or securities related - Strong knowledge of federal securities regulations (1940 Act, Advisers Act, AML) - Strong organization, analytical, managerial and project management skills - Ability to manage multiple tasks/projects and deadlines simultaneously - Effective interpersonal, verbal and written communication skills, past Board reporting experience a plus - Proficient computer skills, specifically Microsoft Office applications (Outlook, Teams, Word, Excel) - 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 entertain fully remote for right candidate INDMO If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Learn how the way we work at U.S. Bank drives meaningful relationships with our customers and collaboration across the company. Benefits: Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): Healthcare (medical, dental, vision) Basic term and optional term life insurance Short-term and long-term disability Pregnancy disability and parental leave 401(k) and employer-funded retirement plan Paid vacation (from two to five weeks depending on salary grade and tenure) Up to 11 paid holiday opportunities Adoption assistance Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law EEO is the Law 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, gender identity, disability or veteran status, among other factors. Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, US Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401k contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $119,595.00 - $140,700.00 - $154,770.00 U.S. Bank will consider qualified applicants with criminal histories in a manner consistent with the San Francisco Fair Chance Ordinance. Our 74,000 employees work across departments to help our millions of retail, business, wealth management, payment, commercial and corporate, and investment services customers across the country and around the world turn their dreams into reality. Our employees are empowered to create change and drive our future, and we pride ourselves on diligently and ethically upholding U.S. Bank’s best-in-class financial record and legacy of more than 150 years in banking. Most importantly, we put people first, cultivating and treasuring meaningful relationships with the customers we serve, the colleagues we support and the communities where we live and work.

Job Summary

JOB TYPE

Full Time

SALARY

$126k-175k (estimate)

POST DATE

03/17/2023

EXPIRATION DATE

05/31/2023

WEBSITE

bairdfunds.com

SIZE

<25

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