Funds Compliance Director: ETF & Mutual Funds

U.S. Bank; Oshkosh (WI); Sur place; USD 127 000 - 149 000; Plein temps

Avantages offerts par ce poste

Healthcare

Life insurance

Disability insurance

Parental leave

401(k) and retirement plan

Paid vacation

Résumé du poste

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

You will oversee daily monitoring, reporting, issue resolution, and audit support for ETFs, mutual funds, closed-end funds, and business development companies. The role requires strong knowledge of the Investment Company Act of 1940, SEC reporting, fund governance, and risk management.

Qualifications

• Bachelor's degree in accounting, finance or related field required.
• CPA certification or active candidacy preferred.
• 10+ years of experience in mutual fund administration or related field.

Responsabilités

• Lead and manage a team responsible for monitoring compliance with regulatory requirements and internal controls.
• Serve as primary point of contact for compliance-related client inquiries and escalations.
• Interpret regulatory requirements and provide guidance on SEC rules and fund provisions.
• Coordinate with Legal, Compliance, Fund Accounting, Financial Reporting and external providers to meet regulatory obligations.
• Maintain documentation supporting testing methodologies, procedures, and controls.
• Lead, mentor and develop compliance professionals through coaching and training.

Connaissances

Leadership

Regulatory knowledge

Team management

Client service

Formation

Bachelor's degree in accounting/finance/related field

CPA certification or candidate

Description du poste

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

You will oversee daily monitoring, reporting, issue resolution, and audit support for ETFs, mutual funds, closed-end funds, and business development companies. The role requires strong knowledge of the Investment Company Act of 1940, SEC reporting, fund governance, and risk management.