Assistant Vice President - Business Services & Governance - Operations

US Bank; Charlotte (NC); On-site; USD 100,000 - 130,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) retirement plan

Paid vacation

Paid holidays

Job summary

U.S. Bank in Charlotte seeks a Senior Associate for Business Services & Governance to strengthen governance, control administration, and management reporting across broker-dealer operations. You will help create scalable infrastructure, support audits, regulatory reviews, and strategic growth.

You will coordinate procedures, attestations, evidence, and governance materials, partner with risk, compliance, and technology teams, and produce concise materials for senior leadership.

Qualifications

• Bachelor’s degree or equivalent practical experience.
• 4+ years in broker-dealer/capital markets operations, governance, audit, risk, or related function.
• Strong organizational skills with ability to manage multiple deliverables, stakeholders, and deadlines.
• Experience producing management reporting, governance docs, or audit evidence.
• Strong written communication, analytical, and presentation skills.

Responsibilities

• Coordinate development, maintenance, review, and certification of Operations procedures and governance docs.
• Support internal audit, regulatory examinations, compliance review, and risk assessment activities.
• Administer recurring control and governance processes (certifications, attestations, reviews, evidence retention).
• Produce and enhance management reporting, dashboards, KPIs, and governance materials across Broker-Dealer Operations.
• Support business continuity and operational resilience activities and plan testing coordination.

Skills

Strong organizational skills

Written communication

Analytical skills

Presentation skills

Ability to manage multiple deliverable

Education

Bachelor’s degree

Tools

Excel

PowerPoint

BI/Reporting tools

Job description

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

Unlock your potential

The Senior Associate, Business Services & Governance will support the broker-dealer Operations organization by providing disciplined governance, control administration, management reporting, and business-services execution across the six-pillar operating model. The role will help create the infrastructure that allows Operations to scale safely, demonstrate control effectiveness, and maintain readiness for audits, regulatory reviews, business continuity events, and strategic growth.

Key Responsibilities

• Coordinate the development, maintenance, review, and certification of Operations procedures, desktop guides, governance standards, and supporting documentation.
• Support internal audit, regulatory examination, compliance review, and risk-assessment activity by coordinating requests, evidence, walkthroughs, action tracking, and remediation governance.
• Administer recurring control and governance processes, including access certifications, attestations, periodic reviews, and evidence retention.
• Produce and enhance management reporting, dashboards, metrics, KRIs/KPIs, and governance materials across Broker-Dealer Operations.
• Support business continuity and operational resilience activities, including plan maintenance, testing coordination, dependency mapping, and issue follow-up.
• Coordinate operational aspects of confirmations/statements, invoices, vendor or service-related attestations, and other centralized business-services activities within the team's remit.
• Maintain inventories, calendars, ownership matrices, action logs, and governance trackers to ensure recurring obligations are completed accurately and on time.
• Partner with pillar leaders to identify control gaps, inconsistent practices, aging issues, and opportunities to standardize or automate processes.
• Support new-business and change initiatives by ensuring procedures, controls, reporting, access, governance, and operational documentation are production-ready.
• Prepare concise materials for senior management and governance forums, translating detailed operational information into clear risks, decisions, and actions.
• Serve as a central coordination point across Operations, Risk, Compliance, Audit, Technology, Finance, and other business partners for assigned governance activities.

Basic Qualifications

• Bachelor's degree or equivalent practical experience.
• 4+ years of experience in broker-dealer/capital markets operations, business management, governance, controls, audit, risk, or a related financial-services function.
• Strong organizational skills with demonstrated ability to manage multiple recurring deliverables, stakeholders, and deadlines.
• Experience producing management reporting, procedures, governance documentation, or audit/control evidence.
• Strong written communication, analytical, and presentation skills.

Preferred Skills/Experience

• Experience within a registered broker-dealer, institutional capital markets, or securities operations environment.
• Knowledge of operational risk and control frameworks, audit/exam support, business continuity, access governance, and issue remediation.
• Experience developing dashboards or management information using Excel, PowerPoint, BI/reporting tools, or similar platforms.
• Ability to synthesize complex operational information for senior leadership and governance committees.
• Continuous-improvement mindset with experience standardizing processes or implementing workflow automation.

Location Expectations

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

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 accr