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OCIO Compliance Analyst

3 weeks ago

Charlotte, North Carolina, United States U.S. Bank Full time

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
This position supports USBAM's Compliance Program under SEC Rule and Investment Company Act of 1940, with a focus on the Outsourced Chief Investment Officer (OCIO) service offering. The role involves assisting in the administration of compliance responsibilities related to the outsourced chief investment officer business, sub-advised separately managed accounts, Multi-Manager Series Trust, and broader compliance initiatives.

Key Responsibilities For OCIO Compliance Activities

  • Compliance Support & Administration

  • Assist in the execution of compliance duties related to the OCIO service offering.

  • Respond to and manage non-complex compliance inquiries.

  • Internal Collaboration & Communication

  • Serve as a liaison between the Compliance team and the Corporate Code of Ethics team.

  • Provide guidance on employee personal trading issues.

  • Clearly communicate basic compliance requirements to internal stakeholders.

  • Issue Identification & Escalation

  • Proactively identify potential compliance issues.

  • Escalate concerns to the Compliance Management Team as appropriate.

  • Process Improvement

  • Contribute ideas and initiatives to enhance operational effectiveness within the Compliance Program.

Key Responsibilities For Investment Company Act Compliance Activities

  • Prepare monthly Affiliates reporting and semi-annual corporate Affiliates reporting.
  • Prepare monthly liquidity classification report for Valuation and Liquidity sub-committee meeting.
  • Prepare and review monthly and quarterly sub-advisers' compliance questionnaire.
  • Assist in the preparation for the quarterly Board meetings.
  • Review daily compliance related reports & research on issues.
  • Review marketing materials for Multi-Manager Series Trust.

Basic Qualifications

  • Bachelor's degree, or equivalent work experience
  • Typically more than six years of applicable experience

Preferred Skills- Regulatory Knowledge

  • Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.

  • Familiarity with institutional client standards and separately managed accounts.

  • Analytical & Business Acumen

  • Ability to quickly understand business operations, products/services, systems, and associated risks and controls.

  • Communication & Interpersonal Skills

  • Strong written, verbal, and presentation skills.

  • Effective relationship-building and collaboration abilities.

  • Technical Proficiency

  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, Copilot).

  • Comfortable navigating databases, spreadsheets, and presentation tools.
  • Openness to leveraging artificial intelligence tools for compliance-related tasks.
  • The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.**

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):

  • 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

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

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: $105, $124,000.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

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.

Posting may be closed earlier due to high volume of applicants.