Fund Administration Compliance Leader

U.S. Bank; Oshkosh (WI); On-site; USD 112,000 - 131,000; Full time

Benefits offered by this job

Healthcare benefits

Life insurance

Disability insurance

Paternity/maternity leave

401(k) with company match

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank is seeking a Fund Administration Compliance & Regulatory Supervisor to lead a team ensuring funds meet regulatory requirements and internal policies. You will oversee monitoring, reporting, issue resolution, and audits across ETFs and mutual funds.

The role emphasizes expertise in regulatory and accounting principles for registered funds, with opportunities to mentor staff and drive process improvements in a dynamic financial services environment.

Qualifications

• Bachelor's degree in accounting, finance or related field.
• CPA certification or candidate
• Nine+ years of experience in Mutual Fund Administration or related field, i.e., public accounting

Responsibilities

• Lead and supervise a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls, including fund compliance programs, regulatory filings, and board reporting
• Oversee daily, weekly, and periodic compliance testing for mutual funds, ETFs, closed-end funds, and other registered investment products.
• Review and approve compliance reporting deliverables, exception reports, and regulatory monitoring results.
• Ensure timely identification, escalation, documentation, and resolution of compliance exceptions and regulatory breaches.
• Maintain documentation supporting compliance testing methodologies, procedures, and controls.
• Provide training and technical guidance to staff regarding regulatory and procedural changes
• Evaluate existing procedures and implement process improvements to enhance efficiency and compliance
• Support business growth initiatives, including participation in new client or product activities

Skills

Regulatory knowledge

Accounting principles

Mutual funds

Staff management

Communication skills

Project management

Ethics & compliance

Education

Bachelor's degree in accounting/finance or related field

Job description

U.S. Bank is seeking a Fund Administration Compliance & Regulatory Supervisor to lead a team ensuring funds meet regulatory requirements and internal policies. You will oversee monitoring, reporting, issue resolution, and audits across ETFs and mutual funds.

The role emphasizes expertise in regulatory and accounting principles for registered funds, with opportunities to mentor staff and drive process improvements in a dynamic financial services environment.