Broker Dealer Exams Team Lead

U.S. Bank • Minneapolis, MN

7d • Hybrid

About The Position

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.

Requirements

• 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.
• FINRA Securities Industry Essentials (SIE), Series 7, 24 and 63 or 66 registrations.
• Ability to obtain Series 53 and 79 within 365 days.

Nice To Haves

• Ability to travel up to 25%.
• 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.

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.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level