U.S. Bancorp

3 days ago

Regulatory Reporting Analyst Manager

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 2 hours agoStatus: Live

Job Summary

Oversee end-to-end regulatory reporting for registered broker-dealer entities, ensuring timely and defensible SEC and FINRA filings. Lead and coach a team of analysts while maintaining controls aligned with SOX/FRR and supporting regulatory exams. Review complex net capital and customer protection computations, drive process automation and regulatory change implementation, and partner with business line leaders to manage filing risk and escalation needs.

Location: Minneapolis, Charlotte

Workplace: Hybrid

Employment Type: Full time

Job Function: Data Analytics & Business Intelligence

Seniority: Manager level

Key Responsibilities

•Own end-to-end preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules.
•Oversee reporting for SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Reserve Formula).
•Lead, coach, and develop broker-dealer regulatory reporting analysts, including quality and documentation standards.
•Maintain and enhance controls supporting broker-dealer regulatory reporting in alignment with SOX/FRR and supervise exams responses with FINRA/SEC/internal audit.
•Drive process improvement and regulatory change by automating and standardizing reporting, implementing rule/interpretive guidance updates, and improving data lineage.

Pay and Benefits

Salary: USD 111,605 - 131,300 annually

Perks:Health InsuranceDentalVisionLife InsuranceDisability InsuranceParental Leave401kRetirementPaid LeavePaid HolidaysAdoption Assistance

Key Requirements

•Bachelor's degree in accounting or finance (preferred) or related field, or equivalent work experience.
•Six or more years of accounting experience.
•Strong working knowledge of SEC and FINRA broker-dealer regulations.
•Prior team leadership, review, or informal people-management experience.
•Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment, or have CPA/equivalent professional certification.

Experience:6+ years

Education:Bachelor's in accounting or finance

Skills:Clear written and verbal communicationRegulatory interpretationEscalation and issue framingDetail-orientedDocumentation and audit readiness

Certifications:FINRA Series 27CPA

Tech Stack:FOCUS reportsSEC Rule 15c3-1SEC Rule 15c3-3SOX/FRRFINRASEC

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

Glassdoor: 3.8

Website LinkedIn Glassdoor

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U.S. Bancorp

3 days ago

Regulatory Reporting Analyst Manager

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 2 hours agoStatus: Live

Job Summary

Location: Minneapolis, Charlotte

Workplace: Hybrid

Employment Type: Full time

Job Function: Data Analytics & Business Intelligence

Seniority: Manager level

Key Responsibilities

•Own end-to-end preparation, review, and submission of FOCUS Reports (Part IIA / IIB) and related schedules.
•Oversee reporting for SEC Rule 15c3-1 (Net Capital) and SEC Rule 15c3-3 (Customer Protection / Reserve Formula).
•Lead, coach, and develop broker-dealer regulatory reporting analysts, including quality and documentation standards.
•Maintain and enhance controls supporting broker-dealer regulatory reporting in alignment with SOX/FRR and supervise exams responses with FINRA/SEC/internal audit.
•Drive process improvement and regulatory change by automating and standardizing reporting, implementing rule/interpretive guidance updates, and improving data lineage.

Pay and Benefits

Salary: USD 111,605 - 131,300 annually

Perks:Health InsuranceDentalVisionLife InsuranceDisability InsuranceParental Leave401kRetirementPaid LeavePaid HolidaysAdoption Assistance

Key Requirements

•Bachelor's degree in accounting or finance (preferred) or related field, or equivalent work experience.
•Six or more years of accounting experience.
•Strong working knowledge of SEC and FINRA broker-dealer regulations.
•Prior team leadership, review, or informal people-management experience.
•Obtain FINRA Series 27 (Financial and Operations Principal) license within 120 days of employment, or have CPA/equivalent professional certification.

Experience:6+ years

Education:Bachelor's in accounting or finance

Skills:Clear written and verbal communicationRegulatory interpretationEscalation and issue framingDetail-orientedDocumentation and audit readiness

Certifications:FINRA Series 27CPA

Tech Stack:FOCUS reportsSEC Rule 15c3-1SEC Rule 15c3-3SOX/FRRFINRASEC

Company Brief

U.S. Bancorp

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

Glassdoor: 3.8

Website LinkedIn Glassdoor