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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in investment adviser and mutual fund regulatory compliance, with a strong focus on SEC Rule 206(4)-7 compliance programs and portfolio compliance. Proficient in utilizing compliance technology, including the Bloomberg compliance module, and skilled in project management, communication, and relationship building with stakeholders.
Highest-signal resume keywords
SEC Rule 206(4)-7 ComplianceInvestment Adviser Regulatory ComplianceBloomberg Compliance ModuleProject Management SkillsAnalytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Program DevelopmentPortfolio Compliance MonitoringTrade Order ManagementRegulatory Examination ResearchData ManagementPolicy DevelopmentRisk/Compliance/Audit KnowledgeFinancial Services RegulationsProcess OptimizationReporting Skills
Soft Skills
Interpersonal SkillsEffective CommunicationLeadership SkillsPresentation SkillsConsulting Skills
Tools & Technologies
Microsoft Office ApplicationsTrade Order Management SystemCompliance Automation ToolsData Analysis ToolsCompliance Reporting Tools
Industry Keywords
Investment ManagementMutual Fund ComplianceRegulatory TrendsFinancial ServicesCompliance Controls
About the role
Key responsibilities & impact- Develop and monitor the USBAM/PFMAM SEC Rule 206(4)-7 Compliance Program
- Conduct oversight and due diligence reviews of investment adviser and sub-adviser duties and responsibilities
- Assist with Portfolio and Trading Compliance and daily monitoring of trade activity
- Assist the Compliance Director with the compliance program under SEC Rule 206(4)-7
- Develop and maintain policies and procedures for best execution, trade allocation, training, adviser regulatory filings, and supervisory responsibilities
- Contribute to portfolio compliance across separate accounts, funds, and institutional accounts
- Support the CCO and Compliance Director with trading compliance and compliance rule setup in the trade order management system
- Review daily account data, changes, and investment policy statements
- Review daily trade order management alerts and warnings, communicate with Portfolio Managers and Traders, and track issue resolution
- Advise senior management and line management on emerging compliance issues
- Identify and communicate relevant regulations
- Support individual transactions, projects, and broader policy and principle matters
- Assist with vendor management, reporting, and inquiries
- Assist with regulatory examination research and responses and internal audits
- Support compliance controls reviews/testing and management of resulting issues
- Assist with weekly, monthly, quarterly, and annual reporting
- Contribute ideas for compliance automation and operational efficiencies
- Assist with record retention policies and large-data management
- Work closely with Legal and Corporate Compliance on compliance issues
- Establish productive relationships with internal auditors, regulators, management, and team members
Requirements
What you’ll need- Bachelor's degree in Business, Finance, Accounting, or related discipline, or equivalent work experience
- Typically more than six years of applicable experience in investment adviser, mutual fund regulatory compliance
- Significant experience in the compliance area of investment management company and/or investment advisor
- Proven ability to function in a fast paced, risk-conscious environment while working within strategies to move the business forward
- Ability to interface effectively with management and team members
- High level of sophistication and experience with information technology supporting compliance functions
- Experience utilizing the Bloomberg compliance module
- Demonstrated success working within processes, procedures and systems that optimize compliance and business results
- Leadership, consulting, presentation and project management skills
- Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends
- Considerable understanding of business line operations, products/services, systems, and associated risks/controls
- Thorough knowledge of Risk/Compliance/Audit competencies
- Strong analytical, process facilitation and project management skills
- Effective presentation, interpersonal, written and verbal communication skills
- Proficient computer navigation skills using Microsoft Office applications, word processing, spreadsheets, databases, and presentations
- Ability to comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and workplace conduct and safety policies
Benefits
Comp & perks- 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
- Incentive and recognition programs
- Equity stock purchase
- 401(k) contribution and pension