Chief Compliance Officer, Investment Trusts MST & AML

U.S. Bank; New York (NY); Hybrid; USD 170,000 - 200,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and retirement plan

Paid vacation and holidays

Job summary

U.S. Bank is seeking an experienced executive to lead the MST's compliance program, oversee service-provider compliance, and coordinate regulatory examinations and reporting to the MST Board.

The role requires deep knowledge of federal securities regulations (1940 Act, Advisers Act), AML oversight, and strong managerial and communication skills; travel ~15% with a hybrid schedule. You will mentor CCO Support Staff and support internal governance updates.

Qualifications

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

Responsibilities

• Maintaining the MST’s compliance program and developing policies in response to regulatory guidance.
• Compliance oversight of service providers to the MST, including multiple investment advisers and fund services.
• Reviewing compliance programs and conducting site visits to observe provider programs.
• Working closely with MST Officers and participating in MST Board Meetings.
• Overseeing, coaching, and providing feedback to the CCO Support Staff assigned to the MST.
• Acting as the MST AML Officer for their respective Trust and managing regulatory examinations.
• Preparing and delivering the MST’s compliance reports, including the 38a-1 annual report.

Skills

Leadership

Strategic thinking

Communication

Analytical thinking

Project management

Team management

Education

Bachelor's degree

Master’s degree/JD a plus

Tools

Microsoft Office (Outlook, Teams, Word, Excel)

Job description

U.S. Bank is seeking an experienced executive to lead the MST's compliance program, oversee service-provider compliance, and coordinate regulatory examinations and reporting to the MST Board.

The role requires deep knowledge of federal securities regulations (1940 Act, Advisers Act), AML oversight, and strong managerial and communication skills; travel ~15% with a hybrid schedule. You will mentor CCO Support Staff and support internal governance updates.