Senior Compliance Officer – Capital Markets

U.S. Bank

Senior Compliance Officer advising U.S. Bank’s capital markets on regulatory risk.

Posted 8/11/2026full-timeMinneapolis • Minnesota, North Carolina • 🇺🇸 United StatesSenior💰 $149,515 - $175,900 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Fixed Income Capital Markets and regulatory compliance, with a strong ability to develop and implement risk management frameworks. Proven leadership in managing compliance teams and driving solutions to minimize regulatory exposure while ensuring operational efficiency.

Highest-signal resume keywords

Fixed Income Capital Markets ComplianceRisk Management Framework DevelopmentRegulatory Requirements CommunicationTeam Management and Performance OversightCritical Thinking and Problem Solving

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceRisk AssessmentCompliance Program DevelopmentControls and SupervisionProject Management

Soft Skills

Strong Written CommunicationStrong Verbal CommunicationAbility to Prioritize InitiativesSense of Urgency

Certifications & Qualifications

FINRA RegistrationNMLS Registration

Industry Keywords

Capital MarketsSales and TradingCredit ProductsStructured ProductsMunicipal ProductsBank Secrecy ActSAFE ActFCPAOFACReg Z

About the role

Key responsibilities & impact

Advise U.S. Bank's Capital Markets as a regulatory subject matter expert
Support Fixed Income Capital Markets and Sales and Trading, including Credit, Structured and Municipal Products
Partner with Senior to Executive Leaders, Risk/Compliance/Audit Consultants and Managers, and other senior RCA managers
Oversee the creation, implementation, and maintenance of an effective risk management framework
Lead projects and activities that ensure compliance with applicable federal, state, and local laws and regulations
Identify compliance gaps and drive solutions to minimize losses from inadequate processes, systems, or human errors
Identify, respond to, and escalate risks as appropriate
Influence policies and procedures to maximize profit potential and minimize regulatory exposure
Maintain an effective partnership between the Line of Business and the Lines of Defense
Manage a team of RCA Professionals, including staffing, performance management, prioritization, guidance, and training

Requirements

What you’ll need

Bachelor's or advanced degree, or equivalent work experience
Typically more than 12 years of applicable experience
Significant experience with Fixed Income Capital Markets, Trading and Institutional Sales Compliance, Controls and Supervision
Ability to understand and communicate regulatory requirements
Ability to handle and prioritize multiple initiatives and inquiries
Strong written and verbal communication of complex issues
Critical thinking and ability to develop compliance programs that meet regulatory obligations and are operationally efficient and sustainable
Operates with a sense of urgency to execute action plans
Ability to comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and related workplace conduct and safety policies
Applicants must be able to comply with applicable regulatory requirements, which may include FINRA, NMLS registration, Reg Z, Reg G, OFAC, NFA, FCPA, Bank Secrecy Act, SAFE Act, and federal guidelines, depending on the position

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
Pension
Disability accommodations during the application or hiring process