Global Fund Services – Regulatory Operations Manager

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Global Fund Services provides transfer agent services to mutual fund advisors, supporting shareholder recordkeeping, customer service, and regulatory operations in compliance with IRS, SEC, and state requirements. The Regulatory Operations team oversees key regulatory functions, including tax reporting, cost basis maintenance, and lost and unclaimed property processing. The Regulatory Operations Manager leads a high‑performing team responsible for delivering compliant, efficient, and high‑quality regulatory operations.

This role focuses on people leadership, project oversight, operational governance, and issue escalation. The ideal candidate brings strong leadership skills, sound judgment, and the ability to manage complex initiatives within a regulated environment. Candidates with strong business‑line experience who are ready to step into people management are encouraged to apply.

• Lead, coach, and develop a team of regulatory operations professionals.
• Provide management review, guidance, and decision‑making support on complex or escalated issues.
• Partner with senior leadership on initiatives, risk management, and operational improvements.
• Foster a collaborative, accountable, and high‑performing team environment.

• Oversee regulatory functions related to transfer agent services, including:
  • Tax form generation and validation (e.g., 1099s)
  • IRS compliance and regulatory reporting
  • Lost and unclaimed property processing and reporting
  • Cost basis tracking and maintenance
  • Adherence to SEC and state regulatory requirements
• Serve as an escalation point for complex client matters.

• Lead and support regulatory and operational initiatives, including regulatory change efforts, process enhancements, and automation.
• Manage or contribute to enterprise‑wide projects involving internal teams and external service providers.
• Coordinate with cross‑functional partners to ensure timely, accurate, and compliant execution.

• Support relationships with high‑touch clients and internal stakeholders.
• Communicate effectively with leadership and partners regarding risks, timelines, and outcomes.

• Bachelor’s degree, or equivalent work experience
• Typically five or more years of relevant experience

• Experience with in financial services, mutual fund servicing, or a related operational
• Thorough knowledge of operational functions, systems, procedures, various products and services in Global Fund Services
• Understanding of applicable Federal and State laws and regulations
• Thorough knowledge of applicable products, programs, financial analysis and related documentation as applicable
• Good organizational, managerial and project management skills
• Well‑developed customer relationship skills with experience handling escalations.
• Excellent interpersonal, verbal and written communication skills
• Strong organizational skills with the ability to manage multiple priorities and deadlines.
• Strong people leadership skills, including coaching, performance management, and team development.
• Proficiency in Microsoft Office Suite, including Outlook, Teams and Excel.
• Experience using collaboration and documentation tools such as SharePoint and One Note.

This role requires working from a U.S. Bank location three (3) or more days per week.

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.

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