Fund Compliance & Regulatory Leader for ETFs

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

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and retirement plan

Paid vacation

Sick leave

Job summary

U.S. Bank is seeking a Fund Administration Compliance & Regulatory Manager to lead a team ensuring registered investment funds comply with regulatory requirements, internal policies, and client guidelines.

You will oversee daily compliance monitoring, regulatory reporting, issue resolution, and audit support for ETFs, mutual funds, and related clients. The ideal candidate will have extensive knowledge of the Investment Company Act, SEC reporting, fund governance, and risk management, with a

Qualifications

• Bachelor’s degree in accounting, finance or related field.
• CPA certified or candidate.
• 10+ years in Mutual Fund Administration or related field (e.g., public accounting).
• 2+ years of supervisory/managerial experience.

Responsibilities

• Lead and manage a team monitoring compliance with regulatory requirements and internal controls.
• Serve as primary contact for compliance-related client inquiries and escalations.
• Interpret regulatory requirements and provide guidance on SEC rules and Subchapter M.
• Coordinate with Legal, Compliance, Fund Accounting, Financial Reporting and external service providers to meet obligations.
• Maintain documentation supporting testing methodologies, procedures and controls.
• Lead and develop compliance professionals through coaching and training.
• Evaluate procedures and implement improvements for efficiency and compliance.
• Set team priorities, allocate resources, and monitor workload to meet SLAs.
• Promote accountability, continuous improvement, and regulatory excellence.
• Provide guidance on new regulations and emerging risks.

Skills

Leadership

Regulatory compliance

Regulatory reporting

Audit support

Client service

Communication

Education

Bachelor’s degree in accounting/finance

CPA certified or candidate

Tools

Microsoft Office

Job description

U.S. Bank is seeking a Fund Administration Compliance & Regulatory Manager to lead a team ensuring registered investment funds comply with regulatory requirements, internal policies, and client guidelines.

You will oversee daily compliance monitoring, regulatory reporting, issue resolution, and audit support for ETFs, mutual funds, and related clients. The ideal candidate will have extensive knowledge of the Investment Company Act, SEC reporting, fund governance, and risk management, with a