Broker-Dealer Exams & Compliance Lead

U.S. Bank; Minneapolis (MN); In loco; USD 105.000 - 124.000; Tempo pieno

Descrizione del lavoro

U.S. Bank is seeking a seasoned Exams Team Lead to ensure compliance with federal, FINRA, and state requirements for broker dealers. The role interacts with senior management and examination staff, demanding expert FINRA Rule 3110 knowledge and strong communication across regulatory, advisory, and internal teams.

Must hold FINRA SIE, Series 7, 24, and 63 (or 66) with potential Series 53/79 within 365 days. Travel up to 25% and leadership in developing examination schedules and improvements are

Competenze

• Bachelor's degree, or equivalent work experience.
• Typically, more than ten years of applicable experience.
• Strong leadership and management skills of processes, projects, and people.

Mansioni

• Review, provide feedback, and complete initial signoff on closeout letters drafted by exam staff.
• Lead training activities for OSJ and branches, and participate in procedure reviews.
• Perform quality assurance reviews of examination workpapers and supporting documentation.

Conoscenze

Leadership

Regulatory knowledge

Project management

Communication

Analytical thinking

Formazione

Bachelor's degree or equivalent

Strumenti

Microsoft Office

Descrizione del lavoro

U.S. Bank is seeking a seasoned Exams Team Lead to ensure compliance with federal, FINRA, and state requirements for broker dealers. The role interacts with senior management and examination staff, demanding expert FINRA Rule 3110 knowledge and strong communication across regulatory, advisory, and internal teams.

Must hold FINRA SIE, Series 7, 24, and 63 (or 66) with potential Series 53/79 within 365 days. Travel up to 25% and leadership in developing examination schedules and improvements are