Senior Compliance Officer – Fund Regulation & Automation

US Bank; Milwaukee (WI); On-site; USD 140,000 - 210,000; Full time

Job summary

U.S. Bank is seeking a Senior Compliance Officer to provide senior-level oversight and regulatory guidance for mutual funds and ETFs under the Investment Company Act. The role includes leading complex projects, mentoring junior officers, and driving process improvements across technology-enabled workflows.

The candidate will manage risk-based reviews, oversee onboarding/offboarding, and collaborate with Compliance Officers and CCOs to ensure robust compliance programs and timely issue resolution.

Qualifications

• Bachelor's degree, or equivalent experience.
• Ten or more years of related experience.

Responsibilities

• Assist CCO with risk-based reviews of investment adviser compliance programs and related materials.
• Assist with annual adviser due diligence reviews including risk assessment and documentation.
• Lead senior-level support for onboarding/offboarding, certifications, and oversight activities.
• Maintain documentation of reviews, decisions, and outcomes; perform advanced compliance tasks as directed.
• Mentor junior Compliance Officers and provide practical guidance and onboarding support.
• Provide day-to-day leadership on assigned workstreams and coordinate activities with the manager/CCOs.
• Lead special projects affecting the Trust compliance program and drive completion.

Skills

Regulatory interpretation

Compliance reviews

Mentor staff

Cross-functional leadership

Process improvement

Stakeholder communication

Tech enablement

Education

Bachelor's degree or equivalent experience

Job description

U.S. Bank is seeking a Senior Compliance Officer to provide senior-level oversight and regulatory guidance for mutual funds and ETFs under the Investment Company Act. The role includes leading complex projects, mentoring junior officers, and driving process improvements across technology-enabled workflows.

The candidate will manage risk-based reviews, oversee onboarding/offboarding, and collaborate with Compliance Officers and CCOs to ensure robust compliance programs and timely issue resolution.