Broker Dealer Compliance Examiner

About the role

Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) 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.

We are seeking someone with

• General understanding of compliance or supervisory issues preferred.
• Ability to make reasonable decisions in a timely manner.
• Ability to work in a dynamic fast-paced environment.
• Self-motivated to manage work independently and strong organizational skills to effectively prioritize throughout the day. Ability to build and maintain relationships with various individuals and areas throughout the firm.
• Collaboration and problem-solving skills.
• Identify trends and patterns to determine if follow-up or escalation is required to Compliance or additional process improvements are needed.
• Effectively lead department efforts.
• Applicable professional certifications preferred Series Professional certifications: FINRA Securities Industry Essentials (SIE), Series 7, and 63 or 66 registrations.

Basic Qualifications

• Bachelor's degree, or equivalent work experience
• Typically more than three years of applicable experience
• Series 7 (at minimum), and Series 63 or 66 registrations required

Preferred Skills/Experience

• FINRA Series 24 highly preferred; the successful hire will be asked to take the examination
• Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Intermediate 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
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
• Applicable professional certifications

• Location expectations
• This role requires working from a U.S. Bank location three (3) or more days per week.
• 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.