BL Regulatory Review Rep- Transfer Agent
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About The Position
U.S. Bank Global Fund Services offers fund administration, compliance, legal administration, fund accounting, fulfillment, distribution and marketing, custody, securities lending, transfer agent and shareholder services and alternative investment product services. We provide the products and services necessary for fund sponsors to focus on investing while we protect their business interests and minimize risks. As Transfer Agent, we act as liaison and provide service to over 300 mutual fund companies and their shareholders. We have numerous opportunities for individuals, with excellent multitasking abilities to provide a superior level of service within the mutual fund industry to our growing group of high profile clients and their shareholders. Efficient and detail-oriented individuals will be able to showcase their talents and develop long lasting relationships through excellent verbal, and written communications. Ensures assigned locations, business units, or proposed products and processes are in compliance with various laws and regulations. Develops and enforces compliance policies and procedures. Acts as the primary compliance consultant/resource for assigned location, business units, or products with respect to questions, consulting, and training. Participates in, and ensures compliance in the design and development of policies, procedures, processes and training programs. Analyzes new and pending laws and regulations which directly affect company practices and works with affected areas to ensure appropriate compliance. May be involved in a variety of compliance projects and initiatives regarding information disclosure, legal proceedings, etc. Performs periodic reviews to assess level of regulatory compliance.
