Broker-Dealer Compliance Specialist

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

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.