Chief Compliance Officer - Investment Company

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Job Description

This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible for:

• Maintaining the MST’s compliance program, including the 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 to the MST, specifically numerous independent investment advisers, U.S. Bank Global 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

• Reviewing compliance programs and related documentation of the MST’s service providers and conducting site visits (on-site or virtually) to observe the compliance programs in place at the MST’s service providers

• Working closely with other MST Officers and actively participating in MST Board Meetings

• Overseeing, coaching, and providing feedback on the CCO Support Staff assigned to the MST

• Acting as the MST anti-money laundering (AML) Officer for their respective Trust

• Managing the MST’s regulatory examinations

• Preparing and delivering the MSTs compliance reports, including the 38a-1 annual report

The MST CCO partners with the other MST CCOs and MST Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the MST. CCO Support Staff assist the MST CCO in their duties.

In addition, the MST CCO may prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services’ clients, work on departmental projects and other tasks as assigned.

Basic Qualifications
- Bachelor's degree, or equivalent experience
- Ten or more years of related experience
- Two or more years of managerial experience

Preferred Skills/Experie