Control Room Compliance Officer

U.S. Bank National Association • Charlotte, NC

4d • Onsite

About The Position

The Global Capital Markets business engages in a range of securities-related activities primarily within the Wealth, Corporate, Commercial & Institutional Banking Division’s business platform and supporting functions. These activities include loan syndications, loan trading, private placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading. The Control Room Compliance Officer is responsible for assisting the Control Room Manager in maintaining the USBI and USBNA information barriers and employee trading compliance programs, including the management and control of confidential information, including Material, Nonpublic Information, arising as result of activities and transactions engaged in by Capital Markets and investment banking related businesses and in compliance with all applicable laws, rules, regulations and firm policies and procedures impacting these businesses.
The ideal candidate for this position will have institutional compliance experience supporting employee trading, information barriers, and related activities in the context of a Control Room or related environment with exposure to the activities of these employees and businesses. As such, the candidate should have experience in the review and approval of personal trade requests, familiar with or have experience in administering the Watch and Restricted Lists, Deal Teams and potential conflicts that may arise in conjunction with Capital Markets and investment banking related businesses.

Requirements

• Bachelor's degree, or equivalent work experience
• Typically more than five years of applicable experience

Nice To Haves

• Knowledge of Federal Securities Laws – CFTC, SEC, OCC, FED and FINRA
• Excellent interpersonal and communication skills
• Time/project management experience, with the ability to take a proactive approach
• Excellent verbal, written communication, and analytical skills
• Ability to work both independently and in a team environment
• Technical aptitude and proficiency with Microsoft Office products
• Ability to effectively manage data and reporting with precision.

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
• Number of Employees: 501-1,000 employees