Broker-Dealer Exams Lead — Compliance & Training
Listed on 2026-10-11
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Finance & Banking
Regulatory Compliance Specialist, Wealth Management
U.S. Bank in Charlotte, NC is seeking a seasoned Exams Team Lead to ensure compliance with federal, self-regulatory, and state requirements. You will interact with senior Business Line and Compliance management, wealth management, and examination staff to oversee the examination program.
The ideal candidate has expert FINRA Rule 3110 knowledge and holds FINRA registrations (SIE, Series 7, 24 and 63 or 66) with ability to obtain Series 53 and 79 within 365 days.
We are seeking a motivated Broker-Dealer Exams Lead — Compliance & Training to join Us Bank in Charlotte, NC, United States.
Step into the Broker-Dealer Exams Lead — Compliance & Training role at Us Bank in Charlotte, NC, United States and grow with us.
Please review the full job details above before applying.
If your experience matches this role, we encourage you to apply.
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