Fund Compliance & Regulatory Leader

Usbank; Oshkosh (WI); On-site; USD 127,000 - 149,000; Full time

Benefits offered by this job

Healthcare

Retirement plan

Paid vacation

Parental leave

Job summary

U.S. Bank seeks a Fund Administration Compliance & Regulatory Manager to lead a team ensuring registered investment funds meet regulatory requirements, prospectus limits, and internal policies.

You will oversee compliance monitoring, reporting, issue resolution, and audit support for ETFs, mutual funds, and other funds. The ideal candidate has deep knowledge of the Investment Company Act of 1940, SEC reporting, fund governance, and regulatory risk management, plus a strong track record in

Qualifications

• Bachelor's degree in accounting, finance or related field.
• CPA certification or candidacy.
• 10+ years in Mutual Fund Administration or related field with supervisory experience.

Responsibilities

• Lead and manage a team overseeing regulatory compliance and internal controls.
• Coordinate with Legal, Fund Accounting, and external providers.
• Guide SEC rules, Investment Company Act provisions, and Subchapter M guidance.
• Maintain documentation of testing methodologies and controls.
• Promote a culture of ethics, risk management, and client service.

Skills

Leadership

Regulatory compliance

Communication

Project management

Education

Bachelor's degree in accounting, finance or related field

CPA certified or candidate

Tools

Microsoft Office

Job description

U.S. Bank seeks a Fund Administration Compliance & Regulatory Manager to lead a team ensuring registered investment funds meet regulatory requirements, prospectus limits, and internal policies.

You will oversee compliance monitoring, reporting, issue resolution, and audit support for ETFs, mutual funds, and other funds. The ideal candidate has deep knowledge of the Investment Company Act of 1940, SEC reporting, fund governance, and regulatory risk management, plus a strong track record in