Regulated Entities Compliance Operations Specialist

U.S. Bank • Charlotte, NC

9d • Hybrid

About The Position

The Regulated Entities Compliance Operations Specialist supports the Cross Functional Compliance Ops and Reporting team as a flexible compliance generalist. This role performs core team processes, represents Compliance in select business line efforts, provides support as priorities and capacity needs shift, and helps modernize team functions through tools such as Power Automate and Copilot. The ideal candidate is adaptable, detail oriented, and able to balance recurring processes, project support, and cross-functional coordination while helping maintain timely, well-controlled compliance execution.

Requirements

• Bachelor's degree in business, finance, risk, compliance, or a related field, or equivalent work experience
• Typically more than one year of applicable experience
• Experience in compliance, risk, operations, audit, or a related function in a regulated environment
• Strong organizational, communication, and judgment skills
• Ability to manage multiple priorities and work effectively across functions
• Experience serving in a regulated entity compliance or regulatory operations team
• Knowledge of regulated entity compliance operations and reporting in financial services
• Understanding of risk, governance, and control frameworks
• FINRA registrations or willingness to obtain
• Strong analytical, process facilitation and project management skills
• Effective written and verbal communication skills
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

Responsibilities

• Perform recurring operational activities for the Regulated Entities Cross Functional Compliance Ops and Reporting team
• Represent Compliance in select business line initiatives and support coordination of compliance-related requirements
• Provide flexible support across the team based on business priorities and capacity needs
• Assist with process improvements, issue follow-up, monitoring activities, and related documentation

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