Investment Compliance Risk Specialist

4 days ago

Minneapolis, Minnesota, United States U.S. Bank Full time
Job Summary

U.S. Bank is seeking a highly skilled Investment Compliance Specialist to join our team. As a key member of our compliance team, you will be responsible for providing investment compliance risk oversight and credible challenge from the second line of defense.

Key Responsibilities
  • Provide investment compliance risk oversight and credible challenge from the second line of defense.
  • Support the Wealth, Corporate, Commercial and Institutional Banking program to ensure activities relating to investment of U.Bank Wealth fiduciary client assets are in compliance with applicable laws, rules, guidance, regulations, and governing instruments.
  • Provide oversight of trade desk and trading practices to ensure compliance with laws and regulations governing activities such as best execution, soft dollars, and broker-dealer reviews.
  • Support and provide oversight of personal security trading surveillance program.
  • Understand and propose solutions to compliance gaps associated with the use of private capital and other alternative investments.
  • Review internal communication and external advertising, marketing, and client communication materials to ensure adequate disclosures and overall compliance with regulations.
  • Provide oversight of client investment reporting and performance presentations.
  • Perform risk assessments on new investment products, business processes and third-party service providers as needed.
  • Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
  • Partners and maintains relationship with their assigned Line of Business, Legal, and other Risk/Compliance/Audit professionals.
  • Collaborate with other stakeholders to identify, escalate and propose solutions to compliance violations and control gaps and weaknesses that may lead to compliance violations.
  • Provides compliance support to assist with policy and procedures related to the monitoring and oversight program.
  • Support and oversee compliance with Rule 23B of the Federal Reserve Act.
Requirements
  • Bachelor's degree, or equivalent work experience.
  • Typically more than eight years of compliance experience from a financial institution, audit, consulting and/or regulatory agency such the OCC, FINRA, SEC or Federal Reserve.
  • Willingness to keep up with industry and regulatory developments and to continuously expand compliance knowledge and skills as needed.
  • Working knowledge of industry best practices and the rules and regulations governing private market holdings and the management of unique and hard to value assets.
  • Experience in performance presentation compliance.
  • Background or experience in RIA or SEC regulated firm compliance is a plus.
What We Offer

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). We are 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. We participate in the U.Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.Citizenship and Immigration Services.

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