Fund Compliance Leader — Regulatory & Risk Oversight

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

Job summary

U.S. Bank is seeking a Fund Administration Compliance Supervisor to lead a team ensuring registered investment funds meet regulatory requirements, internal policies, and client guidelines. You will oversee monitoring, reporting, issue resolution, and audit support across ETFs, mutual funds, and other funds, guiding staff with training and process improvements.

We value strong ethics, collaboration, and a proactive approach to risk management. This role requires in‑person work at a U.S.

Qualifications

• Bachelor's degree in accounting, finance or related field.
• CPA certified or candidate.
• Nine or more years of experience in Mutual Fund Administration or related field.

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

Team leadership

Regulatory knowledge

Communication skills

Education

Bachelor's degree in accounting, finance or related field

CPA certified or candidate

Tools

Microsoft Office

Job description

U.S. Bank is seeking a Fund Administration Compliance Supervisor to lead a team ensuring registered investment funds meet regulatory requirements, internal policies, and client guidelines. You will oversee monitoring, reporting, issue resolution, and audit support across ETFs, mutual funds, and other funds, guiding staff with training and process improvements.

We value strong ethics, collaboration, and a proactive approach to risk management. This role requires in‑person work at a U.S.