Control Room Compliance Officer

U.S. Bank•Charlotte, NC

2d•Onsite

About The Position

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description 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

Responsibilities

assisting the Control Room Manager in maintaining the USBI and USBNA information barriers and employee trading compliance programs
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
compliance with all applicable laws, rules, regulations and firm policies and procedures impacting these businesses
review and approval of personal trade requests
administering the Watch and Restricted Lists, Deal Teams and potential conflicts that may arise in conjunction with Capital Markets and investment banking related businesses

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

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