Chief Compliance Officer

U.S. Bank; Xico; Presencial; MXN 2,308,000 - 2,730,000; Jornada completa

Descripción de la vacante

A leading financial institution in Mexico is hiring a Chief Compliance Officer to manage compliance programs for its mutual funds and exchange traded funds. The ideal candidate has over ten years of experience in compliance and strong knowledge of federal securities regulations. This role offers a competitive salary, comprehensive benefits, and requires around 15% travel.

Servicios

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement plan

Paid vacation

Adoption assistance

Formación

• Ten or more years of related experience.
• Two or more years of managerial experience.

Responsabilidades

• Maintain compliance program and policies for MST.
• Oversee compliance of service providers to MST.
• Conduct compliance program reviews and site visits.
• Manage the MST's regulatory examinations.
• Prepare compliance reports and participate in MST Board Meetings.

Conocimientos

Compliance knowledge

Strong organizational skills

Analytical skills

Project management skills

Effective communication

Educación

Bachelor's degree or equivalent experience

Master's degree or JD (preferred)

Herramientas

Microsoft Office applications

Descripción del empleo

Overview

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.

Position

This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds.

Responsibilities

• Maintain the MST's compliance program, including the review and administration of compliance policies and procedures, and creation of new policies in response to newly issued regulatory guidance.
• Oversee compliance of service providers to the MST, specifically numerous independent investment advisers, U.S. Bank Global 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.
• Review compliance programs and documentation of the MST's service providers and conduct site visits (on-site or virtually) to observe the compliance programs in place.
• Work closely with other MST Officers and actively participate in MST Board Meetings.
• Oversee, coach, and provide feedback on the CCO Support Staff assigned to the MST.
• Act as the MST anti‑money laundering (AML) Officer for their respective Trust.
• Manage the MST's regulatory examinations.
• Prepare and deliver the MSTs compliance reports, including the 38(a)-1 annual report.
• Partner with other MST CCOs and MST Officers in monitoring and addressing regulatory changes and determining impact on the MST.
• Prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services' clients, work on departmental projects and other tasks as assigned.
• Assist the MST CCO in their duties with CCO Support Staff.

Qualifications

• Bachelor's degree or equivalent experience.
• Ten or more years of related experience.
• Two or more years of managerial experience.

Preferred Skills / Experience

• Bachelor's degree in related field with master's degree / JD a plus.
• Ten or more years of experience in a compliance or financial industry related role, preferably in a CCO role or securities related.
• Prior experience with compliance or operational aspects of ETFs.
• Strong knowledge of federal securities regulations.
• Act, Advisers Act, AML compliance.
• Strong organization, analytical, managerial and project management skills.
• Ability to manage multiple 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.

Benefits

• 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

Equal Opportunity

Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

Disability Accommodations

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.

E-Verify

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.

Compensation

Pay Range: $126,000 - $149,000

Additional Notes

Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and / or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.