Compliance Officer

U.S. Bank • Milwaukee, WI

6d • $98,175 - $115,500 • Hybrid

About The Position

This position within RSS will serve as support (CCO 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.

Requirements

• Bachelor's degree, or equivalent experience
• Eight to ten years of related experience
• Proficient computer skills, specifically Microsoft Office applications and Adobe Acrobat
• Ability to take direction and instructions from multiple sources/individuals

Nice To Haves

• 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 work independently and to manage priorities efficiently and effectively
• Team player who can adjust rapidly in response to critical business needs

Responsibilities

• Reviewing and monitoring elements of Adviser compliance programs in an ever-changing regulatory environment.
• Reviewing a variety of internal and external documentation and reporting.
• Preparing for and conducting annual due diligence visits (either virtually or in-person) to observe the compliance programs in place.
• Preparing written reports summarizing the due diligence visits utilized for Board reporting.
• 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.
• Performing other tasks or projects as assigned.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior