Compliance Officer

About the role

This position within RSS serves as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC).

Responsibilities

• Review and monitor elements of Adviser compliance programs in an ever-changing regulatory environment.
• Assist in the preparation of Trust Board reports and supporting documentation.
• Prepare written reports summarizing annual due diligence visits to observe compliance programs in place.
• Assist with the preparation of quarterly calls with Advisers.
• Support onboarding and offboarding of Funds/Advisers.
• Monitor for compliance gaps in conjunction with CCOs and other tasks or projects as assigned.

Requirements

Eight to ten years of related experience, preferably in a compliance or financial industry role, preferably securities related.

Qualifications

• Bachelor's degree, or equivalent experience.
• Strong knowledge of federal securities regulations (1940 Act, Advisers Act).
• Critical thinking skills to effectively assimilate and monitor information.
• Organizational, collaborative, analytical, and project management skills.
• Interpersonal skills; ability to develop client relationships.
• Exemplary verbal and written communication skills.
• Proficient computer skills, specifically Microsoft Office applications and Adobe Acrobat.
• Ability to work independently and manage priorities efficiently and effectively.

Skills

• Ability to manage multiple tasks/projects and deadlines simultaneously.
• Team player who can adjust rapidly in response to critical business needs.

Benefits

The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. Benefits include 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, sick and safe leave, adoption assistance, and more. U.S. Bank is an equal opportunity employer.