Broker-Dealer Operations Leaders | Multiple Teams

At U.S. Bank were 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 atall from Day One.

U.S. Bank is building a scalable lifecycle-aligned Broker-Dealer Operations organization to support business growth regulatory requirements new trading capabilities and an expanding institutional client base. We are seeking experienced operations leaders to help shape this transformation and build the teams processes controls and infrastructure needed for the future.

This posting represents leadership opportunities across three specialized teams:

Client Onboarding and Data

Lead operational activities supporting client onboarding account and security setup static data management and data governance. This team plays a critical role in delivering a seamless client experience while ensuring the integrity and accuracy of operational data across the organization.

Collateral Margin and Settlements

Provide leadership across collateral management margin operations settlements corporate actions and related operational processes. This team supports expanding business capabilities new products and evolving market infrastructure while maintaining operational excellence and risk controls.

Business Services and Governance

Lead business services supporting operational governance procedures audits business continuity planning metrics reporting access certifications and other critical control functions. This team helps establish and maintain a strong governance framework that supports sustainable growth and operational effectiveness.

What Youll Do

Depending on the team responsibilities may include:

• Building and leading high-performing operations teams.
• Establishing scalable processes procedures controls and operating models.
• Partnering with front office risk compliance technology finance and operational stakeholders.
• Supporting organizational growth transformation initiatives and regulatory readiness.
• Driving operational efficiency data quality process improvement and risk management initiatives.
• Developing team members through coaching mentoring and performance leadership.
• Managing priorities in a fast-paced environment while delivering exceptional client and business outcomes.

What Were Looking For

Successful candidates will typically bring:

• Leadership experience within broker-dealer capital markets securities institutional banking or financial services operations.
• Expertise in one or more areas including client onboarding data management collateral margin settlements governance controls or operational risk.
• Experience leading teams through growth change process improvement or organizational transformation.
• Strong analytical problem-solving and decision-making skills.
• The ability to influence and collaborate across multiple business lines and stakeholders.
• A track record of building strong teams and delivering operational excellence.

Schedule & Location

Location: Saint Paul & Charlotte

Schedule: MondayFriday 8:00 a.m. 5:00 p.m. local time

This role has multiple levels open to candidates with 4 years minimum experience in broker-dealer/capital markets operations. The successful candidate will be hired for the level of the position that aligns with their experience. Please note that the salary range provided corresponds to the lowest level of the position posted.

Basic Qualifications

• Bachelors degree or equivalent practical experience.
• 4 years of experience in broker-dealer/capital markets operations business management governance controls audit risk or a related financial-services function.
  

Preferred Skills/Experience

• Proven leadership experience managing teams and complex cross-functional operations in broker-dealer capital markets or securities environments.
• Strong knowledge of broker-dealer operating models trade lifecycle processes account structures reference data operational controls and risk management frameworks.
• Experience designing and implementing procedures controls governance programs escalation frameworks operational metrics and compliance oversight processes.
• Expertise supporting operational risk management audit and regulatory examinations business continuity planning access governance and issue remediation.
• Experience building transforming or scaling client onboarding account master security master reference-data collateral settlements governance or operational-control functions.
• Knowledge of institutional fixed income equities securities operations and new-product implementation initiatives.
• Experience with workflow automation onboarding platforms data governance solutions UAT testing and conversion or platform migration activities.
• Strong executive communication and stakeholder management skills with the ability to present complex operational topics to senior leadership and governance committees.
• Advanced analytical and reporting capabilities utilizing Excel PowerPoint BI/reporting platforms and operational dashboards.
• Demonstrated success leading organizational change process standardization operational transformation and continuous-improvement initiatives.
• Ability to drive strategic priorities while balancing risk regulatory requirements operational efficiency and client experience.
• FINRA registrations applicable to leadership responsibilities or ability to obtain required registrations.

Location Expectations

This role requires working from a U.S. Bank location three (3) or more days per week.

If theres anything we can do to accommodate a disability during any portion of the application or hiring process please refer to ourdisability accommodations for applicants.

Benefits:

Our approach to benefits and total rewards considers our team members whole selves and what may be needed to thrive in and outside work. Thats why our benefits are designed to help you and your family boost your health protect your financial security and give you peace of mind. Our benefits include the following:

• 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

Review our full benefits available by employment status here.

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race religion color sex national origin age sexual orientation gender identity disability or veteran status and other factors protected under applicable law.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about theE-Verify program.

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition certain positions may also be subject to the requirements of FINRA NMLS registration Reg Z Reg G OFAC the NFA the FCPA the Bank Secrecy Act the SAFE Act and/or federal guidelines applicable to an agreement such as those related to ethics safety or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.