Broker Dealer Compliance Examiner

U.S. Bank•Irving, TX

12h•Hybrid

About The Position

The Broker Dealer Compliance Examiner partners with an assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review, or oversee an effective risk management framework, depending on the function. The role participates in projects and activities that ensure compliance with applicable federal, state, and local laws and regulations. It identifies gaps and informs solutions to minimize losses caused by inadequate internal processes, systems, or human errors; identifies, responds to, and escalates risks as appropriate; and serves as a functional liaison between the Line of Business and the Lines of Defense. The position requires working from a U.S. Bank location three or more days per week. The salary range is $81,515 to $95,900, with the actual range potentially varying by work location. U.S. Bank also offers incentive and recognition programs and an equity stock purchase plan, subject to eligibility requirements.

Requirements

Bachelor's degree or equivalent work experience.
Typically more than three years of applicable experience.
Series 7 registration required at minimum.
Series 63 or 66 registration required.
Ability to make reasonable decisions in a timely manner.
Ability to work in a dynamic, fast-paced environment.
Self-motivation to manage work independently and strong organizational skills to prioritize effectively.
Ability to build and maintain relationships with individuals and areas throughout the firm.
Collaboration and problem-solving skills.
Ability to identify trends and patterns and determine whether follow-up or escalation is required.
Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends affecting the assigned line of business.
Intermediate understanding of the business line's operations, products and services, systems, and associated risks and controls.
Thorough knowledge of Risk/Compliance/Audit competencies.
Strong analytical, process facilitation, and project management skills.
Effective presentation, interpersonal, written, and verbal communication skills.
Proficient computer navigation using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations.

Nice To Haves

General understanding of compliance or supervisory issues.
FINRA Series 24 is highly preferred; the successful hire will be asked to take the examination.
Applicable professional certifications.
FINRA Securities Industry Essentials (SIE) certification.

Responsibilities

Partner with the assigned Line of Business, RCA professionals, and RCA Managers to create, implement, maintain, review, or oversee an effective risk management framework.
Participate in projects and activities that ensure compliance with applicable federal, state, and local laws and regulations.
Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems, or human errors.
Identify, respond to, and escalate risks as appropriate.
Serve as a functional liaison between the Line of Business and the Lines of Defense.
Identify trends and patterns to determine whether follow-up, escalation to Compliance, or process improvements are needed.
Effectively lead department efforts.

Benefits

Healthcare, including medical, dental, and vision coverage.
Basic term and optional term life insurance.
Short-term and long-term disability coverage.
Pregnancy disability and parental leave.
401(k) and employer-funded retirement plan.
Paid vacation of 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 plan.
Pension.