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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 analyzing and interpreting Federal, State and other regulatory authorities' rules and regulations. Review and analyze internal and external regulatory reports and coordinates with responsible parties to ensure compliance with applicable regulations. Conduct compliance reviews, 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 related experience · Five or more years of experience in regulatory compliance activities Preferred Skills/Experience · Extensive knowledge of Federal Securities Laws - SEC and FINRA · Exhibit strengths as a creative and strategic thinker · Proven interpersonal and communication skills · Exhibit a passion for learning · Ability to evaluate, assess and make decisions under pressure and prioritize workload · Time/project management experience, with the ability to take a proactive approach · Professional maturity & high energy level · Excellent verbal, written communication, and analytical skills · Essential that candidate has strong interpersonal and client relationship skills · Must be able to work independently and in a team environment · Ability to operate comfortably in a large organization · Series 7 and 24 or obtain within first year year (6 months and 12 months respectfully) Proficient with Microsoft Office products required