Chief Compliance Officer for Mutual Funds & ETFs

U.S. Bank

Milwaukee (WI)

Hybrid

USD 170,000 - 200,000

Full time

3 days ago

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Benefits offered by this job

Healthcare benefits

401(k) retirement plan

Paid vacation

Parental leave

Flexible schedule

Job summary

U.S. Bank is seeking a Chief Compliance Officer for one of its multiple series trusts (MST) containing mutual funds and ETFs. The role oversees the MST's compliance program, AML duties, regulatory examinations, and reporting to the MST Board.

It involves managing the CCO staff and coordinating with service providers and fund operations. The position requires extensive compliance experience, leadership, and the ability to manage multiple projects with a strong understanding of federal securities

Qualifications

Bachelor's degree or equivalent experience.
Ten+ years of related experience with at least two years in a managerial role.
Experience in compliance or financial industry, preferably in a CCO role or securities related.

Responsibilities

Maintain the MST's compliance program and develop policies in response to regulatory guidance.
Oversee compliance of MST service providers (ADVs, Transfer Agent, Fund Administrator, Custodian, Distributors).
Review provider programs and conduct site visits (on-site or virtual).
Collaborate with MST Officers and participate in MST Board Meetings.