Job Closed

This listing is no longer active.

Chief Compliance Officer - Investment Company

ComplianceComplianceFull TimeRemoteLeadTeam 10,001+Since 1863H1B No SponsorCompany SiteLinkedIn

Location

United States

Posted

101 days ago

Salary

$143K - $169K / year

Seniority

Lead

No structured requirement data.

Job Description

Chief Compliance Officer - Investment Company

U.S. Bank

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 U.S. Bancorp Global Fund Services (Fund Services), a subsidiary of U.S. Bank, is growing and seeking a focused, experienced professional to join our Regulatory Support Services (RSS) team. Fund Services supports a broad range of investment strategies and products, including mutual funds and exchange-traded funds (ETFs). This position within RSS will serve as Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. In addition, the position is responsible for managing the MST Compliance Officer (CO) team leader. Key responsibilities include: - Collaborating with the CO team leader to provide strategic direction and task management for the CO team - Overseeing, coaching, and providing ongoing feedback to direct reports and Compliance Officers - Maintaining the MST compliance program, including the review and administration of policies and procedures, and developing new policies in response to regulatory guidance - Providing compliance oversight of MST service providers, including independent investment advisers; Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant; U.S. Bank as Custodian; and external parties such as fund distributors - Reviewing service provider compliance programs and related documentation, and conducting on-site or virtual reviews as appropriate - Working closely with other MST Officers and actively participating in MST Board Meetings - Serving as the Anti-Money Laundering (AML) Officer for the assigned Trust - Managing regulatory examinations for the MST - Preparing and presenting compliance reports, including the Rule 38a-1 annual report - Performing other duties as assigned Basic Qualifications - Bachelor’s degree in a related field required; Master’s degree, JD, or CPA preferred - Ten or more years of experience in a compliance or financial industry–related role, preferably in a Chief Compliance Officer or securities-related capacity - Five or more years of experience leading and managing teams Preferred Skills/Experience - Strong knowledge of federal securities regulations, including the Investment Company Act of 1940, the Advisers Act, and AML requirements - Demonstrated ability to manage and lead diverse teams and complex projects - Strong organizational, analytical, client service, and project management skills - Ability to manage multiple priorities, projects, and deadlines simultaneously - Effective interpersonal, verbal, and written communication skills; prior Board reporting experience preferred - Proficiency with Microsoft Office applications, including Outlook, Teams, Word, and Excel - Ability to work independently and effectively prioritize work - Collaborative team player with the flexibility to adapt quickly to critical business needs - Willingness to travel approximately 15% 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: - 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 Review our full benefits available by employment status here. 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: $143,905.00 - $169,300.00 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.

Related Categories

Related Job Pages

More Compliance Jobs

Fresenius Medical Care logo

VP, Global Compliance Investigations

Fresenius Medical Care

Creating a future worth living. For patients. Worldwide. Every day.

Compliance101 days ago
Full TimeRemoteTeam 10,001+Since 1996H1B Sponsor

PURPOSE AND SCOPE: • Reporting to the SVP, Chief Compliance Officer – Head of Global Center of Excellence, the VP, Global Compliance Investigations plays a key strategic leadership role within Fresenius Medical Care’s (FME’s) Compliance organization. The role leads a global team of compliance & investigations professionals, liaising with key stakeholders across businesses regarding critical investigations as well as compliance leaders, projects, and processes. This leader is responsible for the end-to-end lifecycle of compliance investigations globally, including intake, triage, scoping, execution, documentation, remediation, and closure, as well as oversight of data trending and root cause analyses. The position regularly interacts with senior business leadership and has decision making accountability. This leader supports Fresenius Medical Care’s mission, vision, core values and client service philosophy, adhering to the FME Compliance Program, including following all regulatory and division/company policy requirements. PRINCIPAL DUTIES AND RESPONSIBILITIES: • Provides strategic leadership by establishing the global vision, strategy, and operating model for the Compliance Investigations Program. • Designs and continuously enhances investigation policies, standards, protocols, and governance to ensure consistency, fairness, regulatory defensibility, and compliance with local regulatory requirements worldwide. • Oversees consistent application of investigation methodologies, documentation standards, and evidence management practices globally. • Ensures effective triage, risk assessment, and escalation protocols for all incoming matters. • Provides executive oversight of complex, high-risk, and sensitive investigations, including allegations involving senior leaders or significant regulatory exposure. • Partners with Legal on matters involving litigation risk, government inquiries, regulatory reporting, or external counsel engagement. • Collaborates closely with Legal, Human Resources, Internal Audit, Security, Privacy, Risk Management, and regional leadership to ensure coordinated and holistic case management. • Provides oversight of the organization’s global reporting channels (e.g., hotline, web portal, open-door reporting). • Analyzes global case data and trends to identify systemic risks, cultural concerns, and opportunities for proactive mitigation. • Establishes KPIs, dashboards, and executive reporting to analyze and communicate investigation performance, outcomes, root causes, trends, emerging risks, and recommendations for corrective action. • Drives continuous improvement through benchmarking, metrics, technology enablement, and process optimization. • Champions initiatives that strengthen trust in the reporting process and reinforce a strong ethical culture. • Translates investigation findings into actionable insights that inform risk assessments, policy enhancements, training priorities, and internal controls. • Ensures the program adapts to changing regulations and enforcement trends. • Builds and leads a high-performing global investigations team by setting clear expectations, performance standards, and development plans for direct reports and emerging leaders. • Contributes to the development of the annual enterprise compliance plan and strategic priorities. • Assist with various projects as assigned. • Travel of 10-15% required. SUPERVISION: Responsible for the direct supervision of various levels of staff with responsibility for compliance guidance to the business, monitoring compliance or investigating compliance concerns. EDUCATION: Bachelor's & Juris Doctor (J.D.) degrees required EXPERIENCE AND REQUIRED SKILLS: • 10-15+ years' experience. • 7-10+ years' experience in health care legal, compliance, or comparable role. • 3-5+ years' experience in a senior management level role (Sr. Director+). • Demonstrated experience managing one or more business relationships or functions. • Ability to function with little direct supervision, identify key risk areas and exercise judgment in elevating significant issues. • Strong management skills with the ability to lead cohesive and productive teams. • Strong interpersonal skills with the ability to communicate with all levels of management through diplomacy and tact. • Strong analytical and problem solving skills. • Excellent oral and written communication skills. The rate of pay for this position will depend on the successful candidate’s work location and qualifications, including relevant education, work experience, skills, and competencies. Rate: $211,000 - $230,000. Benefit Overview: This position offers a comprehensive benefits package including medical, dental, and vision insurance, a 401(k) with company match, paid time off, parental leave and potential for performance-based bonuses depending on company and individual performance. Fresenius Medical Care maintains a drug-free workplace in accordance with applicable federal and state laws. Fresenius Medical Care is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sexual orientation, gender identity, parental status, national origin, age, disability, military service, or other non-merit-based factors

United States
$211K - $230K / year
Job Closed

Senior Compliance Specialist

Genesys Cloud Services

Genesys is a technology company offering solutions to help clients engage customers and manage customer contact centers. With a client base of more than 4,700 b

Compliance101 days ago

Genesys empowers organizations of all sizes to improve loyalty and business outcomes by creating the best experiences for their customers and employees. Through Genesys Cloud, the AI-powered Experience Orchestration platform, organizations can accelerate growth by delivering empathetic, personalized experiences at scale to drive customer loyalty, workforce engagement, efficiency and operational improvements. We employ more than 6,000 people across the globe who embrace empathy and cultivate collaboration to succeed. And, while we offer great benefits and perks like larger tech companies, our employees have the independence to make a larger impact on the company and take ownership of their work. Join the team and create the future of customer experience together. As part of the Global HR Compliance team, this role serves as a coordinator and subject matter expert supporting both contingent labor compliance (50%) and the broader Global HR Compliance program (50%). This individual will act as a trusted advisor to HR, Contingent Labor/Strategic Sourcing, and business leaders on workforce risk mitigation, worker classification, and audit. This is a high-impact role supporting a global workforce and is key to advancing compliance maturity, strengthening governance, and ensuring operational integrity across employment practices. Global Contingent Labor Compliance · Work closely with Contingent Labor and Strategic Sourcing teams to ensure alignment with compliance standards. · Ensure compliance with applicable global, federal, and local labor laws related to the use of contingent workers. · Serve as a subject matter expert on worker classification, ensuring proper engagement models and mitigating misclassification and co-employment risks across all regions. · Conduct in-depth compliance related research and provide process and policy change recommendations. · Support audit preparation and respond to internal and external compliance inquiries related to contingent labor. · Support periodic supplier audits, ensuring contractual and legal compliance of third-party vendors providing contingent resources. Global HR Compliance: · Support the design, implementation, and continuous improvement of the Global HR Compliance framework and governance model. · Partner with HR and business leaders to ensure policies, practices, and programs remain compliant and aligned with regulatory requirements. · Monitor developments in employment law, regulatory changes, and global best practices. · Provide ongoing support and guidance on HR practices, policies, and employment regulatory requirements. · Support HR Compliance audit preparation and response. · Conduct in-depth compliance related research and provide process and policy change recommendations. · Maintain documentation, controls, and reporting mechanisms to support compliance tracking and transparency. Job Requirements: · Bachelor’s degree in human resources/related field or equivalent experience. · 5+ years' experience in Human Resources, Compliance, or related field. · Strong understanding of contingent labor issues, including worker classification, co-employment, and global compliance requirements. · Strong ability to work cross-functionally and build strong partnerships across HR, Legal, Procurement, and business teams. Desirable Skills: · Exceptional analytical and research skills with the ability to interpret complex regulatory environments. · Ability to operate as a self-starter, managing multiple priorities independently, and driving initiatives from conception through execution. · Knowledge of employment and labor laws in NA, EMEA, APAC, and LATAM regions. · Experience with HCM technology, Workday preferred. · Strong prioritization, multi-tasking, and problem-solving skills. Compensation: This role has a market-competitive salary with an anticipated base compensation range listed below. Actual salaries will vary depending on a candidate’s experience, qualifications, skills, and location. This role might also be eligible for a commission or performance-based bonus opportunities. $83,700.00 - $147,300.00 Benefits: - Medical, Dental, and Vision Insurance. - Telehealth coverage - Flexible work schedules and work from home opportunities - Development and career growth opportunities - Open Time Off in addition to 10 paid holidays - 401(k) matching program - Adoption Assistance - Fertility treatments Click here to view a summary overview of our Benefits. If a Genesys employee referred you, please use the link they sent you to apply. About Genesys: Genesys® empowers more than 8,000 organizations worldwide to create the best customer and employee experiences. With agentic AI at its core, Genesys Cloud™ is the AI-Powered Experience Orchestration platform that connects people, systems, data and AI across the enterprise. As a result, organizations can drive customer loyalty, growth and retention while increasing operational efficiency and teamwork across human and AI workforces. To learn more, visit www.genesys.com. Reasonable Accommodations: If you require a reasonable accommodation to complete any part of the application process, or are limited in your ability to access or use this online application and need an alternative method for applying, you or someone you know may contact us at reasonable.accommodations@genesys.com. You can expect a response within 24–48 hours. To help us provide the best support, click the email link above to open a pre-filled message and complete the requested information before sending. If you have any questions, please include them in your email. This email is intended to support job seekers requesting accommodations. Messages unrelated to accommodation—such as application follow-ups or resume submissions—may not receive a response. Genesys is an equal opportunity employer committed to fairness in the workplace. We evaluate qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity or expression, marital status, domestic partner status, national origin, genetics, disability, military and veteran status, and other protected characteristics. Please note that recruiters will never ask for sensitive personal or financial information during the application phase.

United States
$83.7K - $147K / year
Job Closed
ServiceNow logo

Sr. Specialist, Privacy & Compliance- Martech

ServiceNow

ServiceNow provides cloud-based services that automate enterprise information technology operations. As an employer, ServiceNow offers a challenging, collaborat

Compliance101 days ago
Full TimeRemoteTeam 29,000Since 2004

Company Description It all started in sunny San Diego, California in 2004 when a visionary engineer, Fred Luddy, saw the potential to transform how we work. Fast forward to today - ServiceNow stands as a global market leader, bringing innovative AI-enhanced technology to over 8,100 customers, including 85% of the Fortune 500®. Our intelligent cloud-based platform seamlessly connects people, systems, and processes to empower organizations to find smarter, faster, and better ways to work. But this is just the beginning of our journey. Join us as we pursue our purpose to make the world work better for everyone. Job Description What you get to do in this role: The Sr. Specialist, Privacy & Compliance is a subject-matter contributor within the Martech CoE responsible for executing governance, privacy, and compliance requirements across the marketing technology stack. This role supports the implementation of consent, data protection, and AI governance controls by translating legal and regulatory requirements into documented platform requirements and working directly with engineering and platform teams to validate builds. The Sr. Specialist works in close partnership with Legal, InfoSec, and the product manager to ensure that CDP, CRM, MAP, and AI-driven workflows operate within approved compliance guardrails. Key Responsibilities - Translate privacy, regulatory, and AI governance requirements into functional specifications, user stories, and acceptance criteria for engineering and platform teams. - Support the maintenance and prioritization of the governance backlog, including consent management, data retention, deletion workflows, and vendor risk items. - Document requirements and data flow specifications for consent management platforms, DPIAs, data minimization, and classification workflows. - Assist in evaluating GTM platform changes (CDP, CRM, MAP, AI tools) for compliance impact; document findings and recommend remediation steps. - Support the AI governance process by contributing to model approval documentation, audit checklists, and monitoring requirements. - Validate that personalization rules, segmentation logic, and content automation workflows adhere to approved safety and compliance standards. - Execute UAT and compliance validation testing for privacy-impacting platform changes; document defects and track to resolution. - Contribute to KPI tracking and dashboard maintenance for privacy health, compliance status, and AI model performance. - Maintain up-to-date documentation of governance policies, platform controls, and compliance procedures. - Coordinate with Legal, InfoSec, and external vendors to gather requirements and support audit responses as directed. Qualifications To be successful in this role you have: - Experience in leveraging or critically thinking about how to integrate AI into work processes, decision-making, or problem-solving. This may include using AI-powered tools, automating workflows, analyzing AI-driven insights, or exploring AI's potential impact on the function or industry. - 4-7+ years of experience in data governance, privacy operations, compliance, or a risk-focused Martech/RevOps role. - Solid understanding of global privacy regulations (GDPR, CCPA/CPRA, emerging U.S. state laws) and how they apply to marketing data and platform operations. - Ability to write user stories, functional requirements, and acceptance criteria for technical or compliance-oriented features. - Familiarity with CDP, CRM, and MAP platforms and how governance rules affect data flows, segmentation, and activation. - Experience collaborating with engineering, legal, and security stakeholders to document and deliver compliance requirements. - Strong attention to detail; comfortable working with technical documentation and regulatory source materials. Highly Preferred - Privacy certifications (CIPP/E, CIPP/US) or active pursuit of same. - Exposure to responsible AI frameworks, ML model monitoring, or AI governance programs. - Experience shipping governance features or platform enhancements in an agile delivery model. - Working knowledge of consent management platforms and vendor risk assessment processes JV20 For positions in this location, we offer a base pay of $104,700- $138,000, plus equity (when applicable), variable/incentive compensation and benefits. Sales positions generally offer a competitive On Target Earnings (OTE) incentive compensation structure. Please note that the base pay shown is a guideline, and individual total compensation will vary based on factors such as qualifications, skill level, competencies, and work location. We also offer health plans, including flexible spending accounts, a 401(k) Plan with company match, ESPP, matching donations, a flexible time away plan and family leave programs. Compensation is based on the geographic location in which the role is located and is subject to change based on work location. Additional Information Work Personas We approach our distributed world of work with flexibility and trust. Work personas (flexible, remote, or required in office) are categories that are assigned to ServiceNow employees depending on the nature of their work and their assigned work location. Learn more here . To determine eligibility for a work persona, ServiceNow may confirm the distance between your primary residence and the closest ServiceNow office using a third-party service. Equal Opportunity Employer ServiceNow is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, creed, religion, sex, sexual orientation, national origin or nationality, ancestry, age, disability, gender identity or expression, marital status, veteran status, or any other category protected by law. In addition, all qualified applicants with arrest or conviction records will be considered for employment in accordance with legal requirements. Accommodations We strive to create an accessible and inclusive experience for all candidates. If you require a reasonable accommodation to complete any part of the application process, or are unable to use this online application and need an alternative method to apply, please contact globaltalentss@servicenow.com for assistance. Export Control Regulations For positions requiring access to controlled technology subject to export control regulations, including the U.S. Export Administration Regulations (EAR), ServiceNow may be required to obtain export control approval from government authorities for certain individuals. All employment is contingent upon ServiceNow obtaining any export license or other approval that may be required by relevant export control authorities. From Fortune. ©2025 Fortune Media IP Limited. All rights reserved. Used under license.

California
$104.7K - $138K / year
Job Closed
Full TimeRemoteTeam 10,001+H1B Sponsor

About GlobalFoundries: GlobalFoundries is a leading full-service semiconductor foundry providing a unique combination of design, development, and fabrication services to some of the world’s most inspired technology companies. With a global manufacturing footprint spanning three continents, GlobalFoundries makes possible the technologies and systems that transform industries and give customers the power to shape their markets. For more information, visit www.gf.com. Summary of Role: The Principal Trade Compliance Specialist is responsible for overseeing export compliance activities to ensure adherence to all applicable U.S. trade laws and regulations. This role plays a critical part in developing and maintaining export compliance programs, supporting internal stakeholders, and safeguarding export‑controlled data across the organization. Essential Responsibilities: - Oversee the compliance of export activities to ensure adherence to all applicable U.S. export control regulations, including the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR). - Develop, implement, and maintain export compliance procedures and internal controls. - Maintain export compliance records in accordance with regulatory requirements and perform required reporting to government entities. - Collaborate with internal stakeholders to evaluate products and determine Export Control Classification Numbers (ECCNs) and licensing requirements. - Work with system administrators to establish robust internal controls that prevent unauthorized transfer of export‑controlled data. - Conduct due diligence for denied party screening. - Apply for export licenses, including licenses related to deemed exports, and review visitor requests to prevent unauthorized access to controlled facilities. - Provide guidance, training, and support to internal stakeholders on export compliance matters. Other Responsibilities: · Perform all activities in a safe and responsible manner and support all Environmental, Health, Safety & Security requirements and programs Required Qualifications: - Comprehensive knowledge and understanding of U.S. trade laws and regulations, including EAR and ITAR. - Familiarity with export compliance processes and procedures, including ECCNs, export licensing conditions and processes, deemed exports, and dual‑use commodities. - Bachelor’s degree in a related field - Minimum of three years of experience in export compliance Preferred Qualifications - Experience in the semiconductor industry, particularly experience with chip design tool companies, EDA tool suppliers, or semiconductor design software providers. - Experience in software or technology industries Expected Salary Range $84,000.00 - $144,000.00 The exact Salary will be determined based on qualifications, experience and location. If you need a reasonable accommodation for any part of the employment process, please contact us by email at usaccommodations@gf.com and let us know the nature of your request and your contact information. Requests for accommodation will be considered on a case-by-case basis. Please note that only inquiries concerning a request for reasonable accommodation will be responded to from this email address. An offer with GlobalFoundries is conditioned upon the successful completion of pre-employment conditions, as applicable, and subject to applicable laws and regulations. GlobalFoundries is fully committed to equal opportunity in the workplace and believes that cultural diversity within the company enhances its business potential. GlobalFoundries goal of excellence in business necessitates the attraction and retention of highly qualified people. Artificial barriers and stereotypic biases detract from this objective and may be illegally discriminatory. All policies and processes which pertain to employees including recruitment, selection, training, utilization, promotion, compensation, benefits, extracurricular programs, and termination are created and implemented without regard to age, ethnicity, ancestry, color, marital status, medical condition, mental or physical disability, national origin, race, religion, political and/or third-party affiliation, sex, sexual orientation, gender identity or expression, veteran status, or any other characteristic or category specified by local, state or federal law

United States
$84K - $144K / year