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Compliance Officer Control Room, Fixed Income and Capital Markets (USBI) - Charlotte, NC
The Fixed Income and Capital Markets business engages in a range of securities-related activities primarily within the Corporate and Commercial Banking Divisions business platform and supporting functions. These activities include loan syndications, loan trading, private placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading.
The Control Room Compliance Officer is responsible for assisting the Control Room Manager in maintaining the USBI information barriers and employee trading compliance programs, including the management and control of confidential information, including Material, Nonpublic Information, arising as result of activities and transactions engaged in by Capital Markets and investment banking related businesses and in compliance with all applicable laws, rules, regulations and firm policies and procedures impacting these businesses.
With respect to these activities, the position will be responsible for: - Managing personal investment requests and all related data in accordance with USBIs Personal Investment Policy; - Facilitating the monthly review of personal trading for Supervisors and Senior Management; - Assisting in the maintenance and enhancement of Control Room policies and procedures; - Participating in the enhancement and facilitation of Control Room surveillance programs; - Maintaining the Watch and Restricted Lists, Deal Teams, and related activity; - Other duties and special projects as assigned.
Basic Qualifications - Bachelor's degree, or equivalent work experience - Three to five years of applicable experience
Preferred Skills/Experience - Experience in a Control Room or institutional compliance environment - Familiarity with or having experience in Capital Markets and investment banking related businesses - Knowledge of Federal Securities Laws CFTC, SEC, OCC, FED and FINRA - Excellent interpersonal and communication skills - Time/project management experience, with the ability to take a proactive approach - Excellent verbal, written communication, and analytical skills - Ability to work both independently and in a team environment - Technical aptitude and proficiency with Microsoft Office products - Ability to effectively manage data and reporting with precision
Primary Location: North Carolina-NC-Charlotte Work Locations: Job: Risk/Compliance/QC/Audit/Fraud Organization: U.S. Bank. Shift: 1st - Daytime Travel: Yes, 10 % of the Time
Internal Number: 6439511
About U.S. Bancorp
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