Assistant Vice President - Business Services & Governance - Operations
About The Position
The Senior Associate, Business Services & Governance supports the broker-dealer Operations organization through governance, control administration, management reporting, and business-services execution across its six-pillar operating model. The role helps establish the infrastructure needed for Operations to scale safely, demonstrate control effectiveness, and remain prepared for audits, regulatory reviews, business continuity events, and strategic growth. The position coordinates governance and documentation, supports audit and regulatory activity, administers recurring controls, and produces reporting and governance materials. It also supports operational resilience, centralized business-services activities, change initiatives, and cross-functional coordination. The role requires working from a U.S. Bank location three or more days per week.
Requirements
- Bachelor's degree or equivalent practical experience.
- At least 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 and demonstrated ability to manage multiple recurring deliverables, stakeholders, and deadlines.
- Experience producing management reporting, procedures, governance documentation, or audit/control evidence.
- Strong written communication, analytical, and presentation skills.
Nice To Haves
- Experience within a registered broker-dealer, institutional capital markets, or securities operations environment.
- Knowledge of operational risk and control frameworks, audit/exam support, business continuity, access governance, and issue remediation.
- Experience developing dashboards or management information using Excel, PowerPoint, BI/reporting tools, or similar platforms.
- Ability to synthesize complex operational information for senior leadership and governance committees.
- Continuous-improvement mindset with experience standardizing processes or implementing workflow automation.
Responsibilities
- Coordinate the development, maintenance, review, and certification of Operations procedures, desktop guides, governance standards, and supporting documentation.
- Support internal audit, regulatory examination, compliance review, and risk-assessment activity by coordinating requests, evidence, walkthroughs, action tracking, and remediation governance.
- Administer recurring control and governance processes, including access certifications, attestations, periodic reviews, and evidence retention.
- Produce and enhance management reporting, dashboards, metrics, KRIs/KPIs, and governance materials across Broker-Dealer Operations.
- Support business continuity and operational resilience activities, including plan maintenance, testing coordination, dependency mapping, and issue follow-up.
- Coordinate operational aspects of confirmations/statements, invoices, vendor or service-related attestations, and other centralized business-services activities within the team's remit.
- Maintain inventories, calendars, ownership matrices, action logs, and governance trackers to ensure recurring obligations are completed accurately and on time.
- Partner with pillar leaders to identify control gaps, inconsistent practices, aging issues, and opportunities to standardize or automate processes.
- Support new-business and change initiatives by ensuring procedures, controls, reporting, access, governance, and operational documentation are production-ready.
- Prepare concise materials for senior management and governance forums, translating detailed operational information into clear risks, decisions, and actions.
- Serve as a central coordination point across Operations, Risk, Compliance, Audit, Technology, Finance, and other business partners for assigned governance activities.
Benefits
- Healthcare, including medical, dental, and 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 hours worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- Pension
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What This Job Offers
Job Type
Full-time
Career Level
Senior
