Broker-Dealer Operations Leaders | Multiple Teams

Us Bank; Charlotte (NC); Hybrid; USD 112,000 - 131,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) plan

Paid vacation

Parental leave

Job summary

U.S. Bank is seeking experienced operations leaders to join its Broker-Dealer Operations Leadership Team, shaping a scalable, lifecycle-aligned organization to support growth, regulatory requirements, and new trading capabilities.

Roles span three teams—Client Onboarding and Data, Collateral, Margin and Settlements, and Business Services and Governance—providing opportunities to lead cross-functional teams, implement controls, and drive continual process improvements across the enterprise.

Qualifications

• Bachelor's degree or equivalent practical experience.
• 4+ years of broker-dealer/capital markets operations, business management, governance, controls, audit, risk, or a related financial-services function.

Responsibilities

• Build and lead high-performing operations teams.
• Establish scalable processes, procedures, controls, and operating models.
• Partner with front office, risk, compliance, technology, finance, and operational stakeholders.
• Support organizational growth, transformation initiatives, and regulatory readiness.
• Drive operational efficiency, data quality, process improvement, and risk management initiatives.
• Develop team members through coaching, mentoring, and performance leadership.
• Managing priorities in a fast-paced environment while delivering exceptional client and business outcomes.

Skills

Leadership experience

Broker-dealer operations

Data governance

Analytical skills

Stakeholder management

Education

Bachelor's degree or equivalent practical experience

Tools

Excel

PowerPoint

BI/Reporting platforms

Operational dashboards

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

Join Our Growing Broker-Dealer Operations Leadership Team

U.S. Bank is building a scalable, lifecycle-aligned Broker-Dealer Operations organization to support business growth, regulatory requirements, new trading capabilities, and an expanding institutional client base. We are seeking experienced operations leaders to help shape this transformation and build the teams, processes, controls, and infrastructure needed for the future.

This posting represents leadership opportunities across three specialized teams:

Client Onboarding and Data

Lead operational activities supporting client onboarding, account and security setup, static data management, and data governance. This team plays a critical role in delivering a seamless client experience while ensuring the integrity and accuracy of operational data across the organization.

Collateral, Margin and Settlements

Provide leadership across collateral management, margin operations, settlements, corporate actions, and related operational processes. This team supports expanding business capabilities, new products, and evolving market infrastructure while maintaining operational excellence and risk controls.

Business Services and Governance

Lead business services supporting operational governance, procedures, audits, business continuity planning, metrics, reporting, access certifications, and other critical control functions. This team helps establish and maintain a strong governance framework that supports sustainable growth and operational effectiveness.

What You’ll Do

Depending on the team, responsibilities may include:

• Building and leading high-performing operations teams.
• Establishing scalable processes, procedures, controls, and operating models.
• Partnering with front office, risk, compliance, technology, finance, and operational stakeholders.
• Supporting organizational growth, transformation initiatives, and regulatory readiness.
• Driving operational efficiency, data quality, process improvement, and risk management initiatives.
• Developing team members through coaching, mentoring, and performance leadership.
• Managing priorities in a fast-paced environment while delivering exceptional client and business outcomes.

What We’re Looking For

Successful candidates will typically bring:

• Leadership experience within broker-dealer, capital markets, securities, institutional banking, or financial services operations.
• Expertise in one or more areas including client onboarding, data management, collateral, margin, settlements, governance, controls, or operational risk.
• Experience leading teams through growth, change, process improvement, or organizational transformation.
• Strong analytical, problem-solving, and decision-making skills.
• The ability to influence and collaborate across multiple business lines and stakeholders.
• A track record of building strong teams and delivering operational excellence.

Schedule & Location

Location: Saint Paul & Charlotte

Schedule: Monday–Friday | 8:00 a.m. – 5:00 p.m. local time

This role has multiple levels, open to candidates with 4 years minimum experience in broker-dealer/capital markets operations. The successful candidate will be hired for the level of the position that aligns with their experience. Please note that the salary range provided corresponds to the lowest level of the position posted.

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.

Preferred Skills/Experience

• Proven leadership experience managing teams and complex, cross-functional operations in broker-dealer, capital markets, or securities environments.
• Strong knowledge of broker-dealer operating models, trade lifecycle processes, account structures, reference data, operational controls, and risk management frameworks.
• Experience designing and implementing procedures, controls, governance programs, escalation frameworks, operational metrics, and compliance oversight processes.
• Expertise supporting operational risk management, audit and regulatory examinations, business continuity planning, access governance, and issue remediation.
• Experience building, transforming, or scaling client onboarding, account master, security master, reference-data, collateral, settlements, governance, or operational-control functions.
• Knowledge of institutional fixed income, equities, securities operations, and new-product implementation initiatives.
• Experience with workflow automation, onboarding platforms, data governance solutions, UAT testing, and conversion or platform migration activities.
• Strong executive communication and stakeholder management skills, with the ability to present complex operational topics to senior leadership and governance committees.
• Advanced analytical and reporting capabilities utilizing Excel, PowerPoint, BI/reporting platforms, and operational dashboards.
• Demonstrated success leading organizational change, process standardization, operational transformation, and continuous‑improvement initiatives.
• Ability to drive strategic priorities while balancing risk, regulatory requirements, operational efficiency, and client experience.
• FINRA registrations applicable to leadership responsibilities, or ability to obtain required registrations.

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

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 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, 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: $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.