Broker Dealer Exams Team Lead

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About the role

At U.S. Bank, we’re 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 at—all from Day One. Job Description The Exams Team Lead is a critical part of the leadership team responsible for ensuring compliance with federal, self-regulatory, and state requirements and supporting the firm’s broker dealers. This highly visible role routinely interacts with senior Business Line and Compliance management, as well as wealth management and examination staff. The candidate must possess expert level command of the program requirements outlined in FINRA Rule 3110, and is detail-oriented, organized, and experienced in navigating regulatory systems and communicating effectively with advisors, regulators, and internal departments.  This role requires professional certifications - FINRA Securities Industry Essentials (SIE), Series 7, 24 and 63 or 66 registrations. Ability to obtain Series 53 and 79 within 365 days. Key Responsibilities In addition to maintaining her/his assigned exams (often the most complex), the Team Lead plays a critical role in helping management execute the program including: • Review, provide feedback, and complete initial signoff on closeout letters drafted by exam staff. • Help ensure more junior team members meet program standards by maintaining job aids and templates, leading training activities for OSJ and branches, and participating in procedure reviews. • Perform quality assurance reviews of examination workpapers and supporting documentation to promote accuracy, consistency, and regulatory alignment. • Serve as liaison in certain vendor relationships, including related questionnaires, reports, and WORM storage. • Participate in training activities for Business Line Supervisory staff. • Assist with Risk Assessments, Firm Eligibility, and FINRA submissions. • Provide program updates and thematic analysis during committee- level calls with senior Business Line and Compliance partners. • Track regulatory trends and participate in related discussions with impact to examination program. • Participate in development of examination schedule, including timebound and risk-based engagements. • Assist in analyzing examination results to identify trends, emerging risks, training opportunities, and potential enhancements to the examination program. • Other projects, as assigned. Basic Qualifications • Bachelor's degree, or equivalent work experience. • Typically, more than ten years of applicable experience. • Strong leadership and management skills of processes, projects, and people. • Effective written and verbal communication skills.  • Strong analytical, problem-solving and negotiation skills. Preferred Skills and Experience • This role will require the ability to travel up to 25%. • Prefer insurance related licensure. • 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. • Considerable knowledge of risk, compliance, and audit competencies. • Strong project management, project planning, time management, and coaching skills. • Identify trends and patterns to determine if follow-up or escalation is required or additional process improvements are need

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