- While we require candidates to be licensed to practice law, this position does not offer legal advice to U.S. Bank Global Fund Services or its clients and will not result in the formation of attorney-client relationships with the funds or advisers with whom the candidate works, or any other party.
-
Compliance Officer
14 hours ago
Cardless, Inc San Francisco, United StatesAt Cardless, we're building a credit card and loyalty platform that consumer businesses use to engage their customers. We've launched 9 credit cards, including for · the largest mall operator in the U.S. · and · the largest airline in South America · . We help businesses brin ...
-
Compliance Officer
4 hours ago
Banktalent Hq West Valley City, United StatesZions Bancorporation is one of the nation's premier financial services companies operating as a collection of great banks under local brands and management teams in high-growth western markets. Zions is regularly recognized by American Banker as one of the 'Best Banks to Work For ...
-
Senior Compliance Officer
1 week ago
Adyen San Francisco, United StatesAdyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. · For our teams, we create an environment w ...
-
Chief Compliance Officer
1 day ago
NerdWallet San Francisco, United StatesThe Chief Compliance Officer ("CCO") will be responsible for developing and implementing compliance programs, including compliance reporting, training, and testing, reviewing company policies, and advising management on compliance matters. Additionally, the CCO will ensure that o ...
-
BSA Compliance Officer
1 week ago
Zeal Co San Francisco, United States[Full Time] BSA Compliance Officer at Zeal (United States) | BEAMSTART Jobs · BSA Compliance Officer · Zeal United States · Date Posted · 20 Mar, 2023 · Work Location · San Francisco, United States · Salary Offered · $140000 — $165000 yearly · Job Type · Full Time · Experience ...
-
Compliance Officer I
4 hours ago
Metrolink Trains San Francisco, United StatesSalary : $74, $114,933.00 Annually · Location : California 91767, CA · Job Type: At Will Full Time · Job Number: · Department: Compliance · Opening Date: 11/22/2023 · Closing Date: Continuous · SUMMARY · PURPOSE OF POSITION · The Compliance Officer I will monitor contract ...
-
Code Compliance Officer
4 hours ago
City of Hanford, CA San Francisco, United StatesSalary : $60, $73,104.00 Annually · Location : CA 93230, CA · Job Type: Full Time · Job Number: 23/24-35 · Department: Community Development · Division: Code Enforcement · Opening Date: 05/30/2024 · Closing Date: 6/21/2024 4:00 PM Pacific · Description · The City of Hanfo ...
-
Compliance Officer
4 weeks ago
Cardless Inc San Francisco, United StatesAt Cardless, were building a credit card and loyalty platform that consumer businesses use to engage their customers. Weve launched 9 credit cards, including for the largest mall operator in the U.S. and the largest airline in South America . We help businesses bring imaginative ...
-
Compliance Officer
3 weeks ago
BankTalent HQ West Valley City, United StatesZions Bancorporation's Compliance Risk Management team is transforming what it means to work for a financial institution. With a commitment to risk mitigation, monitoring, and reporting; we have been providing our community, clients, and colleagues the best experience possible fo ...
-
Compliance Officers
3 weeks ago
Equity Residential Careers San Francisco, CA, United States Full timeWorking for Equity Residential means being part of a community and striving to provide the best in apartment living, speaking boldly about new ideas for innovation, and inspiring creativity in the ways we work together. The Affordable Compliance Specialist ( ACS ) reports to an A ...
-
Chief Privacy Officer and Compliance Director
3 weeks ago
InsideHigherEd San Francisco, United States Administrative Jobs , Executive Administration Jobs ,· Chief Privacy Officer and Compliance Director (6060U), Ethics, Risk & Compliance Svcs 66177 About Berkeley · At the University of California, Berkeley, we are committed to creating a community that fosters equity of experience and opportunity, and ensures that students, facul ...
-
Chief Compliance Officer, Invest
15 hours ago
SoFi San Francisco, United StatesEmployee Applicant Privacy Notice · Who we are: · Shape a brighter financial future with us. · Together with our members, were changing the way people think about and interact with personal finance. · Were a next-generation financial services company and national bank using i ...
-
City and County of San Francisco San Francisco, United StatesCompany Description · APPOINTMENT TYPE: Permanent Exempt - Full Time not to exceed three (3) years –This position is excluded by the Charter from the competitive Civil Service examination process and shall serve at the discretion of the Appointing Officer. · Application Opening ...
-
Senior Compliance Officer
3 days ago
Adyen San Francisco, United States Full timeThis is Adyen · Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. · For our teams, we creat ...
-
Compliance Officer II
4 weeks ago
San Francisco Municipal Transportation Agency San Francisco, United States2978 Contract Compliance Officer II, SF Municipal Transportation Agency, Finance and IT Division, Contract Compliance Office · Recruitment: RTF · Published: · December 15, 2023 · Accepting applications until: · December 29, 2023 · Apply using SmartRecruiters, the City and Cou ...
-
Senior Compliance Officer
3 days ago
Allspring Global Investments San Francisco, United States· Elevate Your Career · Work where your ideas have impact · COMPANY · Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to ...
-
Senior Compliance Officer
1 week ago
Allspring Global Investments San Francisco, United StatesElevate Your Career · Work where your ideas have impact · COMPANY · Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to insp ...
-
Senior Compliance Officer
2 days ago
Adyen San Francisco, CA, United StatesThis is AdyenAdyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. For our teams, we create an en ...
-
Legal and Compliance Officer
2 days ago
Prelim San Francisco, United States Full timeAbout Prelim · Prelim is a fast-growing, San Francisco based startup with team members working remotely throughout the country that's transforming how banks onboard customers. If you're excited to shape the future of banking, we encourage you to apply. We seek driven, ambitious p ...
-
FORGE San Francisco, United StatesThe Role: · We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the Soho, NY area. This is a critical role overseeing compliance for core parts of Forges business, reporting directly to the Head of Compliance. Youll effectively manage ...
Investment Management Attorney and Chief Compliance Officer - San Francisco, United States - U.S. Bank
Description
Investment Management Attorney and Chief Compliance Officer page is loadedInvestment Management Attorney and Chief Compliance Officer
Apply
locations
Milwaukee, WI
Charlotte, NC
Portland, OR
San Francisco, CA
Chicago, IL
time type
Full time
posted on
Posted 2 Days Ago
job requisition id
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
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
Regulatory Administration Duties
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
The position partners with the other Trust CCOs and Trust Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the Trust.
In addition, the position may prepare and participate in webinars/calls on regulatory updates to Fund Services' clients, work on departmental projects and other tasks as assigned.
Qualifications, Preferred Skills and ExperienceLaw 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
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):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
EEO is the Law
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 federalKNOW 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, $159,390.00U.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.
Similar Jobs (5)Senior Audit Manager - Wealth Management, Capital Markets and Commercial Compliance
locations
7 Locations
time type
Full time
posted on
Posted 11 Days Ago
Senior Audit Manager - Personal Trust, Asset Management, and Broker Dealer Products
locations
7 Locations
time type
Full time
posted on
Posted 11 Days Ago
Senior Audit Manager of Innovation and Analytics – Payments, Wealth and Investment Products
locations
7 Locations
time type
Full time
posted on
Posted 15 Days Ago
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.#J-18808-Ljbffr