Fund Administration Compliance Manager

U.S. Bank

. Lead and manage a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls .

Posted 9/17/2026full-timeMilwaukee • Arizona • United StatesSeniorLead💰 $126,820 - $149,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance, particularly with the Investment Company Act of 1940 and Subchapter M, while leading and developing a team of compliance professionals. Proven ability to manage complex projects and drive process improvements in fund administration.

Highest-signal resume keywords

Regulatory Compliance ManagementInvestment Company Act ExpertiseTeam Leadership and DevelopmentClient Communication SkillsProcess Improvement Implementation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Requirements InterpretationCompliance Testing MethodologiesFund Compliance Programs OversightFinancial ReportingAccounting PrinciplesMutual Fund AdministrationPerformance ManagementProject ManagementTechnical TrainingDocumentation Maintenance

Soft Skills

Organizational SkillsCoaching and MentoringAccountability PromotionContinuous Improvement MindsetVerbal Communication

Tools & Technologies

Microsoft OfficePC Applications

Certifications & Qualifications

CPA Certification

Industry Keywords

SEC RulesSubchapter M RequirementsInvestment PoliciesInternal ControlsCompliance StandardsClient InquiriesRegulatory FilingsBoard ReportingEthics and ComplianceU.S. Bank Policies

About the role

Key responsibilities & impact

Lead and manage a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls
Oversee fund compliance programs, regulatory filings, and board reporting
Serve as a primary point of contact for compliance-related client inquiries and escalations
Interpret regulatory requirements and provide guidance regarding SEC rules, Investment Company Act provisions, Subchapter M requirements, and other applicable regulations
Coordinate with Legal, Compliance, Fund Accounting, Financial Reporting, and external service providers
Maintain documentation supporting compliance testing methodologies, procedures, and controls
Lead, mentor, and develop compliance professionals through coaching, performance management, and technical training
Evaluate procedures and implement process improvements
Establish team priorities, allocate resources, and monitor workload distribution
Promote accountability, continuous improvement, and regulatory excellence
Provide technical guidance regarding new regulations, rule changes, and emerging compliance risks
Participate in department-level initiatives, committees, and working groups
Execute strategies and drive change for the fund administration department and business line
Support business growth initiatives, including new client or product activities

Requirements

What you’ll need

Bachelor's degree in accounting, finance or related field
CPA certified or candidate
10 or more years of experience in Mutual Fund Administration or related field, i.e., public accounting
Two or more years of supervisory/managerial experience
Demonstrated experience leading, supervising and developing professional staff
Superior knowledge of legal, regulatory, and accounting principles affecting registered investment funds
Advanced understanding of the Investment Company Act of 1940, Subchapter M of the Internal Revenue Code, and applicable state securities regulations
Strong organizational skills with the ability to manage complex, long-term projects
Excellent written and verbal communication skills with significant client interaction
Proficiency with Microsoft Office and standard PC applications
Superior commitment to ethics, compliance, and internal control standards
Ability to work from a U.S. Bank location three (3) or more days per week
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

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