Senior Fund Compliance & Regulatory Lead

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

Benefits offered by this job

Healthcare

Life insurance

Disability insurance

Parental leave

401(k) plan

Paid vacation

Paid holidays

Adoption assistance

Job summary

U.S. Bank is seeking a Fund Administration Compliance & Regulatory Supervisor to lead a team ensuring registered investment funds comply with regulatory requirements, prospectus limitations, and internal policies, while serving as a subject matter expert on ETF, mutual fund and closed‑end fund clients.

You will oversee daily monitoring, regulatory reporting, issue resolution and audit support, provide training to staff, and drive process improvements to support business growth and client service.

Qualifications

• Bachelor's degree in accounting, finance or related field.
• CPA certified or candidate
• Nine or more years of experience in Mutual Fund Administration or related field, i.e., public accounting

Responsibilities

• Lead and supervise a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls, including fund compliance programs, regulatory filings, and board reporting
• Oversee daily, weekly, and periodic compliance testing for mutual funds, ETFs, closed-end funds, and other registered investment products
• Review and approve compliance reporting deliverables, exception reports, and regulatory monitoring results
• Ensure timely identification, escalation, documentation, and resolution of compliance exceptions and regulatory breaches
• Maintain documentation supporting compliance testing methodologies, procedures, and controls
• Provide training and technical guidance to staff regarding regulatory and procedural changes
• Evaluate existing procedures and implement process improvements to enhance efficiency and compliance
• Support business growth initiatives, including participation in new client or product activities

Skills

Regulatory compliance

Team leadership

Auditing

Regulatory reporting

Training staff

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 Supervisor to lead a team ensuring registered investment funds comply with regulatory requirements, prospectus limitations, and internal policies, while serving as a subject matter expert on ETF, mutual fund and closed‑end fund clients.

You will oversee daily monitoring, regulatory reporting, issue resolution and audit support, provide training to staff, and drive process improvements to support business growth and client service.