Series Trusts Chief Compliance Officer

Chief Compliance Officer (CCO)

This position within the Governance and Control team will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible for:

• Maintaining the MST's compliance program, including the review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance
• Compliance oversight of service providers to the MST, specifically numerous independent investment advisers, U.S. Bank Global 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
• Reviewing compliance programs and related documentation of the MST's service providers and conducting site visits (on-site or virtually) to observe the compliance programs in place at the MST's service providers
• Working closely with other MST Officers and actively participating in MST Board Meetings
• Overseeing, coaching, and providing feedback on the CCO Support Staff assigned to the MST
• Acting as the MST anti-money laundering (AML) Officer for their respective Trust
• Managing the MST's regulatory examinations
• Preparing and delivering the MSTs compliance reports, including the 38a-1 annual report

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 Governance and Control updates to Fund Services' clients, work on departmental projects and other tasks as assigned.

Basic Qualifications
- Bachelor's degree, or equivalent experience
- Ten or more years of related experience
- Two or more years of managerial experience Preferred Skills/Experience

- Bachelor's degree in related field with master's degree/JD a plus

- Ten or more years of experience in a compliance or financial industry related role, preferably in a CCO role or securities related

-Prior experience with compliance or operational aspects of ETFs

- Strong knowledge of federal securities regulations (1940 Act, Advisers Act, AML)

- Strong organization, analytical, managerial and project management skills

- Ability to manage multiple 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

Travel Requirements:
Approximately 15% travel, including periodic domestic travel and occasional international travel, such as trips to London approximately every other year.

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.

Compensation:

• The posted salary range is a guideline, and compensation may vary based on experience, skills, and qualifications. Total compensation also includes eligibility for an annual discretionary incentive.
• Your compensation expectations will be discussed with a U.S. Bank recruiter if you are contacted to discuss the role further.

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.