U.S. Bank Chief Compliance Officer - Investment Company in Baton Rouge, Louisiana
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.
This position within RSS will serve as Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible for:
MaintainingtheMST’scomplianceprogram,includingreviewandadministrationofcompliance policiesandproceduresandthecreationofnewpoliciesandproceduresinresponsetonewly issued regulatory guidance
ComplianceoversightofserviceproviderstotheMST,specificallynumerousindependent investmentadvisers,FundServicesasTransferAgent,FundAdministrator,andFund Accountant,U.S.BankasCustodian,andexternalpartiessuchasDistributor(s)totheFunds
ReviewingcomplianceprogramsandrelateddocumentationoftheMST’sserviceprovidersand conductingsitevisits (on-siteorvirtually)toobservethecomplianceprogramsinplaceat the MST’s service providers
Overseeing,coaching, and providingfeedbackon theCCOSupportStaffassigned totheMST
The MST CCO partners with the other MST CCOs and MST Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the MST. CCO Support Staff assist the MST CCO in their duties.
In addition, the MST CCO may prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services’ clients, work on departmental projects and other tasks as assigned.
Bachelor's degree, or equivalent experience
Ten or more years of related experience
Bachelor's degree in related field with master’s degree/JD or CPA a plus
Eight or more years of experience in a compliance or financial industry related role, preferably in a CCO role or securities related
Strong knowledge of federal securities regulations (1940 Act, Advisers Act, AML)
Strong organization, analytical, managerial and project management skills
Ability to manage multiple tasks/projects and deadlines simultaneously
Effective interpersonal, verbal and written communication skills, past Board reporting experience a plus
Proficient computer skills, specifically Microsoft Office applications (Outlook, Teams, Word, Excel)
Ability to work independently and effectively manage priorities
Team player who can adjust rapidly in response to critical business needs
Approximately 15% travel required
Position located in Milwaukee, WI but will entertain fully remote for right candidate
If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants (https://careers.usbank.com/global/en/disability-accommodations-for-applicants) .
Learn how the way we work at U.S. Bank (https://assets.phenompeople.com/CareerConnectResources/prod/UBNAGLOBAL/documents/Thewaywework-1666895142717.pdf) drives meaningful relationships with our customers and collaboration across the company.
Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
EEO is the Law
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS (https://eeoc.gov/sites/default/files/2022-10/EEOC_KnowYourRights_screen_reader_10_20.pdf) EEO poster.
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program (https://careers.usbank.com/verification-of-eligibility-for-employment) .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, US Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401k contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $119,595.00 - $140,700.00 - $154,770.00
U.S. Bank will consider qualified applicants with criminal histories in a manner consistent with the San Francisco Fair Chance Ordinance.
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.