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Chief Compliance Officer (CCO) - Investment Company

Company: U.S. Bank
Location: Olympia
Posted on: September 21, 2022

Job Description:

At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we're one of the country's most respected, innovative and successful financial institutions. 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.**Job Description**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:+ Maintaining the MST's compliance program, including 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, 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 virtual) 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 reportThe 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.**Basic Qualifications**- Bachelor's degree, or equivalent experience- Ten or more years of related experience**Preferred Skills**- 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 (travel is currently limited in response to COVID-19)- Ability to accommodate hybrid work environment (3 days in office/2 days remote work) unless prefer to work in office full-timePosition located in Milwaukee, WI but will entertain fully remote for right candidateIf 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) .**Benefits:**Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting careers.usbank.com .**EEO is the Law**Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) poster.**E-Verify**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) .Salary range reflected is an estimate of base pay and is for the primary location. Base pay range may vary if an offer is made for work in a different location. Pay Range: $115,005.00 - $135,300.00 - $148,830.00Due to legal requirements, U.S. Bank requires that the successful candidate hired for some positions be fully-vaccinated for COVID-19, absent being granted an accommodation due to a medical condition, pregnancy, or sincerely held religious belief or other legally required exemption. For these positions, as part of the conditional offer of employment, the successful candidate will be asked to provide proof of vaccination or approval for an accommodation or exemption upon hire.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.

Keywords: U.S. Bank, Olympia , Chief Compliance Officer (CCO) - Investment Company, Executive , Olympia, Washington

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