Broker Dealer Exams Team Lead

U.S. Bank

. Maintain assigned examinations, often the most complex .

Posted 10/8/2026full-timeUnited StatesSenior💰 $105,400 - $124,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expert knowledge of FINRA regulations, particularly Rule 3110, and possesses strong analytical and project management skills. Capable of leading training initiatives and managing complex examination processes while ensuring compliance with industry standards.

Highest-signal resume keywords

Expert Knowledge of FINRA Rule 3110FINRA Securities Industry Essentials (SIE)Series 7, 24, 63 or 66 RegistrationsStrong Leadership and Management SkillsProject Management and Planning

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AssessmentQuality Assurance ReviewsThematic AnalysisRegulatory Trend AnalysisExamination SchedulingData AnalysisCompliance CompetenciesFinancial Services KnowledgeNegotiation SkillsProblem-Solving Skills

Soft Skills

Effective Communication SkillsPeople-Management SkillsCoaching SkillsAnalytical SkillsTime Management Skills

Tools & Technologies

Microsoft Office ApplicationsSpreadsheetsDatabasesPresentation Software

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE)Series 7Series 24Series 63Series 66Ability to Obtain Series 53 and 79

Industry Keywords

Financial ServicesRegulatory ComplianceRisk ManagementAudit CompetenciesBusiness Line Operations

About the role

Key responsibilities & impact

Maintain assigned examinations, often the most complex
Review, provide feedback, and complete initial signoff on closeout letters drafted by exam staff
Maintain job aids and templates
Lead training activities for OSJ and branches
Participate in procedure reviews
Perform quality assurance reviews of examination workpapers and supporting documentation
Serve as liaison in certain vendor relationships, including 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 affecting the examination program
Participate in development of examination schedules, including timebound and risk-based engagements
Analyze examination results to identify trends, emerging risks, training opportunities, and potential program enhancements
Complete other assigned projects

Requirements

What you’ll need

Expert level command of program requirements outlined in FINRA Rule 3110
FINRA Securities Industry Essentials (SIE), Series 7, 24 and 63 or 66 registrations required
Ability to obtain Series 53 and 79 within 365 days
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
Ability to travel up to 25%
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends
Considerable understanding of business line 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
Proficient computer navigation skills using Microsoft Office applications, spreadsheets, databases, and presentations
Excellent people-management skills
Must possess business acumen and credibility to identify and address changing workforce needs
Must comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct

Benefits

Comp & perks

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
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension