Compliance Officer

Job Title

CCO Support

Job Description

This position within RSS will serve as support to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC). This position will assist the CCO in the continuous compliance oversight of service providers to the Trusts including numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds within the Trusts. The CCO Support individual will be primarily responsible for reviewing and monitoring elements of Adviser compliance programs in an ever-changing regulatory environment, a variety of internal and external documentation and reporting and preparing for and conducting annual due diligence visits (either virtually or in-person) to observe the compliance programs in place. Individuals will also be responsible for preparing written reports summarizing the due diligence visits utilized for Board reporting. Other responsibilities include assisting with the preparation of Trust Board reports and supporting documentation, issuing, documenting, and summarizing various certifications, assisting with quarterly calls with Advisers, participating in onboarding and offboarding of Funds/Advisers, monitoring for compliance gaps in conjunction with CCOs and other tasks or projects as assigned.

Basic Qualifications

• Bachelor's degree, or equivalent experience
• Eight to ten years of related experience

Preferred Skills/Experience

• Eight or more years of experience in a compliance or financial industry related role, preferably securities related
• Strong knowledge of federal securities regulations (1940 Act, Advisers Act) a plus
• Critical thinking skills to effectively assimilate and monitor information
• Strong organizational, collaborative, analytical and project management skills
• Ability to manage multiple tasks/projects and deadlines simultaneously
• Strong interpersonal skills; ability to develop client relationships
• Exemplary verbal, and written communication skills
• Ability to take direction and instructions from multiple sources/individuals
• Proficient computer skills, specifically Microsoft Office applications and Adobe Acrobat
• Ability to work independently and to manage priorities efficiently and effectively
• Team player who can adjust rapidly in response to critical business needs
• Approximately 5-10% travel required

The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

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.

Benefits:

• 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
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

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, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.