Broker Dealer Compliance Examiner

US Bank; Irving (TX); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) matching

Paid vacation

Paid holidays

Job summary

U.S. Bank is seeking a Risk/Compliance professional to partner with their Line of Business and RCA teams to design, implement, and oversee an effective risk management framework.

You will identify gaps, inform solutions, and escalate risks to protect the firm. The role requires 3+ years of experience, a Bachelor’s degree, Series 7 (and 63 or 66) registrations, and strong analytical, communication, and project-management skills.

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically 3+ years of applicable experience.
• Series 7, and Series 63 or 66 registrations required.

Responsibilities

• Partner with assigned Line of Business and RCA professionals to implement and oversee a risk management framework.
• Identify gaps and inform solutions to minimize losses from inadequate processes, systems or human errors.
• Identify, respond and/or escalate risks as appropriate.
• Serve as a liaison between the Line of Business and Lines of Defense.

Skills

Analytical thinking

Communication

Project management

Relationship building

Microsoft Office

Education

Bachelor's degree

Tools

Microsoft Office

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

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:

• 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,