Fund Compliance & Regulatory Supervisor

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

Benefits offered by this job

Healthcare

401(k)

Paid vacation

Paid holidays

Parental leave

Adoption assistance

Job summary

U.S. Bank seeks a Fund Administration Compliance Supervisor to lead a team ensuring registered funds meet regulatory requirements and internal policies. You will oversee monitoring, reporting, issue resolution, and audit support for ETF, mutual fund, closed-end fund, and BDC clients.

This role emphasizes teamwork, professional development, and process improvements within a supportive, ethical environment aimed at delivering client-focused financial solutions.

Qualifications

• Bachelor's degree in accounting, finance or related field.
• CPA certification or candidacy preferred.
• 9+ years in Mutual Fund Administration or related field.
• Advanced knowledge of funds regulatory, accounting principles.
• Understanding of Investment Company Act of 1940 and state regs.
• Experience leading and developing professional staff.
• Strong written and verbal communication skills.

Responsibilities

• Lead and supervise a team monitoring regulatory compliance for funds.
• Oversee regulatory filings, testing, reports, and board reporting.
• Identify, escalate, document and resolve compliance breaches.
• Maintain documentation of testing methodologies and controls.
• Provide training and guidance on regulatory changes.
• Evaluate procedures and implement efficiency improvements.
• Support growth initiatives and new client/product activities.

Skills

Regulatory compliance

Leadership

Communication

Microsoft Office

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 Supervisor to lead a team ensuring registered funds meet regulatory requirements and internal policies. You will oversee monitoring, reporting, issue resolution, and audit support for ETF, mutual fund, closed-end fund, and BDC clients.

This role emphasizes teamwork, professional development, and process improvements within a supportive, ethical environment aimed at delivering client-focused financial solutions.