- Maintaining the Trust's compliance program, including 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, including conducting site visits (on-site or virtually) to the Trust, specifically 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;
- Working closely with other Trust Officers and actively participating in Trust Board Meetings;
- Acting as the Trust's anti-money laundering (AML) Officer for their respective Trust
- Managing the Trust's regulatory examinations
- Preparing and delivering the Trust's compliance reports, including the 38a-1 annual report
- Drafting, reviewing, and preparing registration statements for new products or annual updates to fund registration statements;
- Ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings;
- Communicating with the U.S. Securities and Exchange Commission ("SEC") and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients;
- Preparing agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes; and
- Serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities
- Law degree
- Licensed to practice in the applicable jurisdiction*
- 5 or more years of experience working with the Investment Company Act of 1940 and related securities laws and regulations
- Knowledge of closed-end fund laws and regulations, mutual fund and ETF knowledge a plus
- Excellent verbal and written communication skills
- Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to department and organizational special projects
- Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable
- Strong attention to detail
- Experience managing or supervising the work of other 1940 Act professionals or legal support staff
- Approximately 15% travel required
- 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
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Investment Management Attorney and Chief Compliance Officer - Milwaukee, United States - U.S. Bank
Description
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.
Job Description
U.S. Bank Global Fund Services is seeking a licensed attorney with experience working with the Investment Company Act of 1940 and related securities laws and regulations to join the Regulatory Administration group of one of the largest investment company services businesses in the country. Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member of the Regulatory Administration team supporting closed-end funds, as well as open-end funds and ETFs.
Candidates will ideally have at least five years of experience practicing with a law firm, closed-end, mutual fund or ETF complex, fund servicing organization, investment advisory firm, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices.
The position is responsible for:
Trust Compliance Officer Duties
Qualifications, Preferred Skills and Experience
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability 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. That's 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 (some may vary based on role, location or hours):
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster.
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 the E-Verify program.
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: $123, $144, $159,390.00
U.S. Bank will consider qualified applicants with criminal histories in a manner consistent with the San Francisco Fair Chance Ordinance.
Job postings typically remain open for approximately 20 days of the posting date listed above, however the job posting may be closed earlier should it be determined the position is no longer required due to business need. Job postings in areas with a high volume of applicants, such as customer service, contact center, and Financial Crimes investigations, remain open for approximately 5 days of the posting listed date.
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