Assistant Vice President - Business Services & Governance - Operations

U.S. Bank; Charlotte (NC); Hybrid; USD 112,000 - 131,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement

Paid vacation and holidays

Sick and Safe Leave

Job summary

U.S. Bank is seeking a Senior Associate for Business Services & Governance to strengthen broker-dealer Operations.

You will drive governance, control administration, and management reporting, ensuring readiness for audits and regulatory reviews while supporting strategic growth across six pillars. You will coordinate procedures, attestations, and evidence, while partnering with pillar leaders to identify gaps and opportunities to standardize or automate processes.

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 ability to manage multiple deliverables, stakeholders, and deadlines.
• Experience producing management reporting, procedures, governance documentation, or audit/control evidence.
• Strong written communication, analytical, and presentation skills.

Responsibilities

• Coordinate development, maintenance, review, and certification of Operations procedures and governance standards.
• Support audit, regulatory examinations, compliance reviews, and risk assessments.
• Administer recurring control and governance processes, including attestations and reviews.
• Produce and enhance management reporting, dashboards, metrics, KRIs/KPIs, and governance materials.
• Support business continuity and operational resilience activities, including plan testing and dependency mapping.
• Coordinate operational aspects of confirmations/statements, invoices, attestations, and other governance activities.
• Maintain inventories, calendars, ownership matrices, action logs, and governance trackers.
• Identify control gaps and opportunities to standardize or automate processes.
• Prepare materials for senior management and governance forums.

Skills

Governance

Control administration

Management reporting

Risk & audit support

Regulatory readiness

Stakeholder coordination

Education

Bachelor's degree or equivalent practical experience

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. 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

• 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.

Pay Range: $111,605.00 - $131,300.00 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.

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.