Compliance Analyst

U.S. Bank•Minneapolis, MN

1d•$92,820 - $109,200•Hybrid

About The Position

The Compliance Analyst will serve as a shared services liaison specializing in personal trading compliance within a regulated financial services environment. This role supports the firm’s compliance program by administering, monitoring, and documenting personal trading controls, while partnering closely with business, compliance, and shared service stakeholders. The ideal candidate is detail‑oriented, analytically strong, highly organized, and comfortable operating in a structured, rules‑based environment that requires consistent follow‑through and clear communication.

Requirements

Bachelor's degree, or equivalent work experience
Typically more than five years of applicable experience
FINRA Series 6 or 7, and Series 63 registration/licensure, or the ability to obtain within 4 months of hire.
Experience in financial services, compliance operations, risk management, or a related control function.
Demonstrated experience with analytical review, data validation, and administrative process execution in a regulated environment.
Strong organizational skills with a high level of attention to detail and documentation discipline.
Ability to manage routine workflows while identifying issues that require es- calation or further analysis.
Prior experience supporting personal trading compliance, Code of Ethics administration, or employee conflict‑of‑interest programs.
Familiarity with shared services or centralized compliance operating models.
Experience working with reporting tools or dashboards; Power BI app creation experience strongly preferred.
Strong analytical and critical‑thinking skills
High degree of accuracy, consistency, and follow‑through
Clear written communication and professional judgment
Ability to work independently while collaborating across teams
Comfort operating in a highly regulated environment

Nice To Haves

Support or develop Power BI applications or dashboards used for compliance reporting, monitoring, or trend analysis.

Responsibilities

Administer and monitor the firm’s personal trading compliance program, including pre‑clearance, reporting, and review of employee trading activity.
Review personal trading alerts, certifications, and exception reports; document findings and escalate issues as appropriate.
Support ongoing compliance with the firm’s Code of Ethics and applicable SEC and FINRA requirements related to employee trading.
Act as a point of coordination between Compliance and centralized/shared service teams responsible for personal trading administration.
Help ensure shared service processes are executed consistently, accurately, and in alignment with compliance expectations.
Track service issues, trends, and recurring items, and support process improvements through documentation and reporting.
Perform analytical reviews of personal trading data to identify trends, potential conflicts of interest, or policy deviations.
Maintain logs, trackers, evidence files, and other documentation to support audits, reviews, and regulatory inquiries.
Assist with periodic testing, certifications, and compliance reporting activities.
Utilize compliance systems and reporting tools to support personal trading oversight.

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
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension