Governance & Operations Lead — Broker-Dealer

U.S. Bank; Charlotte (NC); Hybrid; USD 112,000 - 131,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement

Paid vacation and holidays

Sick and Safe Leave

Job summary

U.S. Bank is seeking a Senior Associate for Business Services & Governance to strengthen broker-dealer Operations.

You will drive governance, control administration, and management reporting, ensuring readiness for audits and regulatory reviews while supporting strategic growth across six pillars. You will coordinate procedures, attestations, and evidence, while partnering with pillar leaders to identify gaps and opportunities to standardize or automate processes.

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.
• Strong organizational skills with ability to manage multiple deliverables, stakeholders, and deadlines.
• Experience producing management reporting, procedures, governance documentation, or audit/control evidence.
• Strong written communication, analytical, and presentation skills.

Responsibilities

• Coordinate development, maintenance, review, and certification of Operations procedures and governance standards.
• Support audit, regulatory examinations, compliance reviews, and risk assessments.
• Administer recurring control and governance processes, including attestations and reviews.
• Produce and enhance management reporting, dashboards, metrics, KRIs/KPIs, and governance materials.
• Support business continuity and operational resilience activities, including plan testing and dependency mapping.
• Coordinate operational aspects of confirmations/statements, invoices, attestations, and other governance activities.
• Maintain inventories, calendars, ownership matrices, action logs, and governance trackers.
• Identify control gaps and opportunities to standardize or automate processes.
• Prepare materials for senior management and governance forums.

Skills

Governance

Control administration

Management reporting

Risk & audit support

Regulatory readiness

Stakeholder coordination

Education

Bachelor's degree or equivalent practical experience

Tools

Excel

PowerPoint

BI/reporting tools

Job description

U.S. Bank is seeking a Senior Associate for Business Services & Governance to strengthen broker-dealer Operations.

You will drive governance, control administration, and management reporting, ensuring readiness for audits and regulatory reviews while supporting strategic growth across six pillars. You will coordinate procedures, attestations, and evidence, while partnering with pillar leaders to identify gaps and opportunities to standardize or automate processes.