Compliance Analyst/Associate - Capital Markets Compliance

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North Carolina-Charlotte Capital Markets Compliance Capital Markets Compliance is responsible for overseeing U.S. Bancorp Investment, Inc's ("USBI") High Grade Fixed Income Trading, Sales, Origination and U.S. Bancorp's Capital Markets businesses regarding security and regulatory issues and USBI policy and procedures. Daily the candidate will maintain a high degree of knowledge of applicable laws and regulations for Fixed Income and Capital Markets businesses. Specifically, this will involve working with Compliance management / colleagues in reviewing and analyzing internal and external regulatory reports and coordinate with responsible parties to ensure compliance with applicable regulations. Manage compliance exceptions, investigations, and customer complaints. Actively participate in the development, implementation and distribution of all regulatory or compliance based policies and procedures. Provide current regulatory information to management and applicable business units and maintain records to document compliance requirements. Assist in the development of Compliance programs including training and monitoring. Your Career is Here. Basic Qualifications · Bachelor's degree in related field, or equivalent work experience · Two to four years of experience in regulatory compliance activities Preferred Skills/Experience · Understanding of full service financial service institution, including bank and broker/dealer operations · Knowledge of Federal Securities Laws - SEC and FINRA helpful · Ability to work under pressure and prioritize workload · Attention to detail a must. · Exhibit a Passion for learning · Time/project management experience desired with the ability to take a proactive approach · Professional maturity & high energy level · Excellent verbal, written communication, and analytical skills · Must be able to work independently and in a team environment. · Series 7 and 24, or obtain within first year (6 months and 12 months respectfully) · Proficient with Microsoft Office products required