Chief Compliance Officer - Investment Company

Chief Compliance Officer (CCO) For Multiple Series Trusts (MST)

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.

This position within RSS will serve as the 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 MSTs 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 MSTs service providers and conducting site visits (on-site or virtually) to observe the compliance programs in place at the MSTs 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 MSTs 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. 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

Preferred Skills / Experience

Benefits :

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range : $133,365.00 - $156,900.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and / or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.