Senior Compliance Officer - Capital Markets

U.S. Bancorp
Minneapolis, Charlotte
Workplace: OnsiteFull timeUSD 149,515 - 175,900 annuallyFunction: Legal, Risk & ComplianceExperience: 12+ yearsEducation: bachelorsSkills: ["Communication","Critical thinking","Prioritization","Sense of urgency"]

Serve as the regulatory subject matter expert for Fixed Income Capital Markets and Sales & Trading within the Capital Markets Compliance Team. Oversee creation, implementation, and maintenance of an effective risk management framework and compliance with applicable federal, state, and local regulations. Identify compliance gaps, drive solutions to minimize losses, influence policies to reduce regulatory exposure, and manage a team of RCA professionals supporting line-of-business compliance activities.

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FursaFursa
U.S. Bancorp
U.S. Bancorp
4 days ago

Senior Compliance Officer - Capital Markets

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Last checked: 20 hours agoStatus: Live

Job Summary

Serve as the regulatory subject matter expert for Fixed Income Capital Markets and Sales & Trading within the Capital Markets Compliance Team. Oversee creation, implementation, and maintenance of an effective risk management framework and compliance with applicable federal, state, and local regulations. Identify compliance gaps, drive solutions to minimize losses, influence policies to reduce regulatory exposure, and manage a team of RCA professionals supporting line-of-business compliance activities.
Location: Minneapolis, Charlotte
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Advise US Bank’s Capital Markets and serve as regulatory subject matter expert across relevant regulatory requirements.
  • •Oversee the successful creation, implementation, and maintenance of an effective risk management framework supporting compliance activities.
  • •Ensure compliance with applicable federal, state, and local laws and regulations; identify gaps and drive solutions to minimize losses.
  • •Account for the identification, response, and escalation of risks as appropriate and influence policies to maximize profit potential while minimizing regulatory exposure.
  • •Manage a team of RCA professionals, including staffing, performance management, prioritizing, guidance, and training.

Pay and Benefits

Salary: USD 149,515 - 175,900 annually
Perks:Health InsuranceDentalVisionLife InsuranceLong-term DisabilityRetirement401kPaid LeavePaid HolidaysParental LeaveAdoption Assistance

Key Requirements

  • •Bachelor’s or advanced degree, or equivalent work experience.
  • •Typically more than 12 years of applicable experience.
  • •Significant experience with Fixed Income Capital Markets, Trading, and Institutional Sales Compliance, including controls and supervision.
  • •Ability to understand and communicate regulatory requirements clearly.
  • •Critical thinking to develop compliance programs that meet regulatory obligations efficiently and sustainably.
Experience:12+ yearsCapital marketsFixed incomeTradingInstitutional salesRegulatory compliance
Education:Bachelor's
Skills:CommunicationCritical thinkingPrioritizationSense of urgency

Company Brief

U.S. Bancorp
U.S. Bancorp is the parent company of U.S. Bank, providing consumer, business, and institutional banking services including lending, payments, treasury management, wealth management, and merchant solutions across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Minneapolis, United States
Founded: 1863
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