Senior Manager, Finance Transformation, M&A Support
Ryan
PMP
Chief Compliance Officer – Investment
U.S. Bank
full-time
Posted on:
Location Type: Remote
Location: Remote • California, Illinois, Massachusetts, Texas • 🇺🇸 United States
Visit company websiteSalary
💰 $133,365 - $156,900 per year
Job Level
Lead
About the role
- 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.
Requirements
- Bachelor's degree, or equivalent experience
- Ten or more years of related experience
- Two or more years of managerial 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
- Approximately 15% travel required
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance program managementregulatory complianceanti-money laundering (AML)federal securities regulationsproject managementcompliance documentation reviewregulatory examinationscompliance reportingmanagerial experienceexperience with ETFs
Soft skills
organizational skillsanalytical skillsinterpersonal skillsverbal communicationwritten communicationteam playerability to manage multiple projectsability to work independentlycoachingfeedback provision
Certifications
Bachelor's degreeMaster's degreeJD
