Broker Dealer Exams Team Lead

U.S. Bank; Charlotte (NC); On-site; USD 105,000 - 124,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and retirement plan

Paid vacation

Life insurance

Parental leave

Job summary

U.S. Bank in Charlotte, NC is seeking a seasoned Exams Team Lead to ensure compliance with federal, self-regulatory, and state requirements. You will interact with senior Business Line and Compliance management, wealth management, and examination staff to oversee the examination program.

The ideal candidate has expert FINRA Rule 3110 knowledge and holds FINRA registrations (SIE, Series 7, 24 and 63 or 66) with ability to obtain Series 53 and 79 within 365 days.

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically, more than ten years of applicable experience.
• Strong leadership and management of processes, projects and people.
• Excellent written and verbal communication skills.
• Strong analytical, problem-solving and negotiation skills.

Responsibilities

• Review, provide feedback, and sign off on closeout letters drafted by exam staff.
• Lead training activities for OSJ and branches and develop job aids/templates.
• Perform QA reviews of examination workpapers for accuracy and regulatory alignment.
• Manage vendor relationships and related questionnaires/reports.
• Provide program updates and analyses in committee calls with senior partners.
• Help with risk assessments, firm eligibility, and FINRA submissions.
• Develop examination schedules and identify trends from results.
• Identify improvements to the examination program and escalate where needed.

Skills

Leadership

Communication

Regulatory knowledge

Analytical skills

Project management

Coaching

Education

Bachelor's degree or equivalent work experience

Tools

Microsoft Office

Spreadsheets

Databases

Presentations

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

The Exams Team Lead is a critical part of the leadership team responsible for ensuring compliance with federal, self-regulatory, and state requirements and supporting the firm’s broker dealers. This highly visible role routinely interacts with senior Business Line and Compliance management, as well as wealth management and examination staff.

The candidate must possess expert level command of the program requirements outlined in FINRA Rule 3110, and is detail-oriented, organized, and experienced in navigating regulatory systems and communicating effectively with advisors, regulators, and internal departments. This role requires professional certifications - FINRA Securities Industry Essentials (SIE), Series 7, 24 and 63 or 66 registrations. Ability to obtain Series 53 and 79 within 365 days.

Key Responsibilities

• Review, provide feedback, and complete initial signoff on closeout letters drafted by exam staff.
• Help ensure more junior team members meet program standards by maintaining job aids and templates, leading training activities for OSJ and branches, and participating in procedure reviews.
• Perform quality assurance reviews of examination workpapers and supporting documentation to promote accuracy, consistency, and regulatory alignment.
• Serve as liaison in certain vendor relationships, including related questionnaires, reports, and WORM storage.
• Participate in training activities for Business Line Supervisory staff.
• Assist with Risk Assessments, Firm Eligibility, and FINRA submissions.
• Provide program updates and thematic analysis during committee- level calls with senior Business Line and Compliance partners.
• Track regulatory trends and participate in related discussions with impact to examination program.
• Participate in development of examination schedule, including timebound and risk-based engagements.
• Assist in analyzing examination results to identify trends, emerging risks, training opportunities, and potential enhancements to the examination program.
• Other projects, as assigned.

Basic Qualifications

• 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.
• Effective written and verbal communication skills.
• Strong analytical, problem-solving and negotiation skills.

Preferred Skills and Experience

• This role will require the ability to travel up to 25%.
• Prefer insurance related licensure.
• Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business.
• Considerable understanding of the business line's operations, products/services, systems, and associated risks/controls.
• Considerable knowledge of risk, compliance, and audit competencies.
• Strong project management, project planning, time management, and coaching skills.
• Identify trends and patterns to determine if follow-up or escalation is required or additional process improvements are needed.
• 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.
• Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs.
• Excellent presentation, interpersonal, written, and verbal communication skills.
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and spreadsheets, databases, and presentations.
• Excellent people-management skills.

Location Requirements

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 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 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, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $105,400.00 - $124,000.00

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.