Job DescriptionThe Compliance Analyst will serve as a shared services liaison specializing in personal trading compliance within a regulated financial services environment. This role supports the firm's compliance program by administering, monitoring, and documenting personal trading controls, while partnering closely with business, compliance, and shared service stakeholders. The ideal candidate is detail-oriented, analytically strong, highly organized, and comfortable operating in a structured, rules-based environment that requires consistent follow-through and clear communication.
Key Responsibilities:
- Administer and monitor the firm's personal trading compliance program, including pre-clearance, reporting, and review of employee trading activity.
- Review personal trading alerts, certifications, and exception reports; document findings and escalate issues as appropriate.
- Support ongoing compliance with the firm's Code of Ethics and applicable SEC and FINRA requirements related to employee trading.
- Act as a point of coordination between Compliance and centralized/shared service teams responsible for personal trading administration.
- Help ensure shared service processes are executed consistently, accurately, and in alignment with compliance expectations.
- Track service issues, trends, and recurring items, and support process improvements through documentation and reporting.
- Perform analytical reviews of personal trading data to identify trends, potential conflicts of interest, or policy deviations.
- Maintain logs, trackers, evidence files, and other documentation to support audits, reviews, and regulatory inquiries.
- Assist with periodic testing, certifications, and compliance reporting activities.
- Utilize compliance systems and reporting tools to support personal trading oversight.
- Preferred: Support or develop Power BI applications or dashboards used for compliance reporting, monitoring, or trend analysis.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Typically more than five years of applicable experience
Preferred Skills/Experience
-
FINRA Series 6 or 7, and Series 63 registration/licensure, or the ability to obtain within 4 months of hire.
- Experience in financial services, compliance operations, risk management, or a related control function.
- Demonstrated experience with analytical review, data validation, and administrative process execution in a regulated environment.
- Strong organizational skills with a high level of attention to detail and documentation discipline.
- Ability to manage routine workflows while identifying issues that require es- calation or further analysis.
- Prior experience supporting personal trading compliance, Code of Ethics administration, or employee conflict-of-interest programs.
- Familiarity with shared services or centralized compliance operating models.
- Experience working with reporting tools or dashboards; Power BI app creation experience strongly preferred.
Core Competencies:
- Strong analytical and critical-thinking skills
- High degree of accuracy, consistency, and follow-through
- Clear written communication and professional judgment
- Ability to work independently while collaborating across teams
- Comfort operating in a highly regulated environment
Location expectations This role requires working from a U.S. Bank location three (3) or more days per week.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. That's 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.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $92,820.00 - $109,200.00
Posting may be closed earlier due to high volume of applicants. 
