Compliance Officer - Securities Industry

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Compliance Officer - Securities Industry
The candidate will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange-traded funds (Trusts). Will assist in the compliance oversight of service providers to the Trusts, including numerous independent investment advisers, 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 within the Trusts. Primarily responsible for reviewing compliance programs and related documentation of the Trusts’ advisers and conducting site visits (currently being conducted primarily virtually due to COVID-19) to observe the compliance programs in place at the Trusts’ advisers. The CCO Support works closely with the MST CCOs, other CCO Support Staff, investment adviser personnel, and other Service Provider personnel. Other responsibilities include assisting with the preparation of Trust Board reports prepare and participating in webinars/calls on regulatory or RSS updates to Fund Services’ clients and other tasks as assigned.

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