Compliance Exam, Audit, and Issue Coordinator

U.S. Bank; Charlotte (NC); Sur place; USD 120 000 - 141 000; Plein temps

Résumé du poste

U.S. Bank is seeking a seasoned Risk/Compliance/Audit professional to partner with Regulatory Affairs and Corporate Compliance to implement and oversee an effective risk management framework.

You will engage with exam and audit teams, drive issue resolution, and escalate concerns as needed. You will apply extensive knowledge of financial services regulations and risk controls, coordinating across lines of business to ensure compliance with laws and standards while supporting cross-functional

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically more than eight years of applicable experience.
• Proven knowledge of applicable laws, regulations and financial services.
• Strong analytical, process facilitation and project management skills.
• Effective presentation, interpersonal, written and verbal communication skills.
• Strong relationship building and negotiation skills.
• Proficient computer navigation with MS Office and related tools.

Responsabilités

• Partner with Regulatory Affairs and Corporate Compliance on regulatory engagements across the business.
• Collaborate with internal review partners and Corporate Compliance on in-scope engagements.
• Facilitate and challenge exam, audit, and review responses and materials.
• Lead issue identification, resolution project management, milestone development and reporting.
• Support oversight of issue management lifecycle with cross-business coordination.
• Identify and escalate concerns to Management as needed.
• Perform other projects as assigned.

Connaissances

Regulatory knowledge

Regulatory trends

Analytical

Process facilitation

Project management

Presentation skills

Interpersonal skills

Written/verbal communication

Relationship building

Negotiation

MS Office

Formation

Bachelor's degree

Experience equivalent

Outils

MS Office

Description du poste

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

Job Description

NOTE: This position is not eligible for visa sponsorship.

Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework. Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors. Identifies, responds and/or escalates risks as appropriate. Serves as a functional liaison between the Line of Business and the Lines of Defense.

Specific duties

• Partners with Regulatory Affairs, Corporate Compliance, and other relevant stakeholders on regulatory engagements where Corporate Compliance is the subject of the engagement and/or where compliance risks are in-scope.
• Partners with internal review partners (e.g., Corporate Audit Services or Compliance Quality Assurance), Corporate Compliance, and other relevant stakeholders, in a risk-based manner, on engagements where Corporate Compliance is the subject of the engagement and/or where compliance risks are in-scope.
• Facilitates and credibly challenges exam, audit, and review responses and meeting materials in a risk-based manner.
• Performs or drives processes to support effective issue resolution activities. This includes issue identification, issue resolution project management, milestone development, status reporting, risk escalation, coordinating cross-business line activities including technology plans, documenting completion evidence and testing activities, drafting resolution memorandums, validating and verifying resolution steps, and related tasks.
• Supports compliance oversight processes of business line issue identification and resolution, including coordination with compliance specialists, providing feedback and effective challenge throughout issue lifecycle, managing meeting routines and escalation discussions, and maintaining status reporting.
• Identifies and escalates concerns (e.g., potential exam/audit issues, past due milestones, potential extension, etc.) to Management, as appropriate.
• Other projects, as assigned.

Basic Qualifications

• Bachelor's degree, or equivalent work experience
• Typically more than eight years of applicable experience

Preferred Skills/Experience

• Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Considerable understanding of the business line’s operations, products/services, systems, and associated risks/controls
• Thorough knowledge of Risk/Compliance/Audit competencies
• Strong analytical, process facilitation and project management skills
• Effective presentation, interpersonal, written and verbal communication skills
• Effective relationship building and negotiation skills
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
• Applicable professional certifications

LOCATION EXPECTATIONS

This role requires working from a U.S. Bank Location three (3) or more days per week.

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

Benefits

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:

• 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

Review our full benefits available by employment status here.

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $119,765.00 - $140,900.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.