Institutional Broker-Dealer Compliance

Job Description

Partners with their assigned Line of Business, other Risk / Compliance / Audit professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework. Participates in projects and / or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors. Identifies, responds and / or escalates risks as appropriate. Serves as a functional liaison between the Line of Business and the Lines of Defense.

Basic Qualifications : Bachelor's degree, or equivalent work experience. Typically more than six years of applicable experience.

Preferred Skills / Experience : Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business. Considerable understanding of the business line's operations, products / services, systems, and associated risks / controls. Thorough knowledge of Risk / Compliance / Audit competencies. Strong analytical, process facilitation and project management skills. Effective presentation, interpersonal, written and verbal communication skills. Effective relationship building and negotiation skills. Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations. Applicable professional certifications.

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.

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.