Retail Broker-Dealer Compliance Specialist

U.S. Bank • Saint Paul, MN

15h • Hybrid

About The Position

Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework. Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors. Identifies, responds and/or escalates risks as appropriate. Serves as a functional liaison between the Line of Business and the Lines of Defense.

Requirements

• Bachelor's degree, or equivalent work experience
• Typically more than six years of applicable experience
• Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Considerable understanding of the business line’s operations, products/services, systems, and associated risks/controls
• Thorough knowledge of Risk/Compliance/Audit competencies
• Strong analytical, process facilitation and project management skills
• Effective presentation, interpersonal, written and verbal communication skills
• Effective relationship building and negotiation skills
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

Nice To Haves

• FINRA Series 7 and 24

Responsibilities

• Create, implement, maintain, review or oversee an effective risk management framework.
• Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identify, respond and/or escalate risks as appropriate.
• Serve as a functional liaison between the Line of Business and the Lines of Defense.

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: Senior
• Number of Employees: 5,001-10,000 employees