Compliance Officer

At U.S. Bank were 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 atall from Day One.

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.

Basic Qualifications

• Bachelors degree or equivalent experience

• Eight to ten years of related experience

Preferred Skills/Experience

• 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 take direction and instructions from multiple sources/individuals

• Proficient computer skills specifically Microsoft Office applications and Adobe Acrobat

• Ability to work independently and to manage priorities efficiently and effectively

• Team player who can adjust rapidly in response to critical business needs

• Approximately 5-10% travel required

The role offers a hybrid/flexible schedule which means theres an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

If theres anything we can do to accommodate a disability during any portion of the application or hiring process please refer to ourdisability accommodations for applicants.

Benefits:

Our approach to benefits and total rewards considers our team members whole selves and what may be needed to thrive in and outside work. Thats why our benefits are designed to help you and your family boost your health protect your financial security and give you peace of mind. Our benefits include the following:

• 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

Review our full benefits available by employment status here.

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.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about theE-Verify program.

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.