Broker-Dealer Operations Leaders | Multiple Teams

U.S. Bank • Charlotte, NC

1d • $111,605 - $131,300 • Hybrid

About The Position

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.

Requirements

• 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.
• 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.

Nice To Haves

• 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.

Responsibilities

• 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.

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
• Education Level: Associate degree