Compliance Examiner

U.S. Bank National Association; Irving (TX); On-site; USD 85,000 - 110,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability insurance

401(k) retirement plan

Paid vacation

Job summary

U.S. Bank is seeking a risk/compliance professional to partner with business lines and RCA teams to implement and oversee an effective risk management framework. The candidate will participate in compliance projects, identify gaps, and escalate risks as needed.

The role requires Series 7 and Series 63/66 registrations, strong organizational and communication skills, and the ability to work in a fast-paced environment. A 3+ year track record and FINRA knowledge are preferred.

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically more than three years of applicable experience.
• Series 7 plus Series 63 or 66 registrations required.
• FINRA Series 24 highly preferred; examine required.

Responsibilities

• Partner with the Line of Business and RCA teams to create, implement, maintain or oversee an effective risk management framework.
• Participate in projects ensuring compliance with applicable laws and regulations and identify gaps for remediation.
• Identify trends to determine if follow-up or escalation to Compliance or process improvements are needed.

Skills

Compliance knowledge

Decision making

Organizational skills

Relationship building

Collaboration

Problem solving

Education

Bachelor's degree or equivalent

Tools

MS Office

Job description

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

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.

We are seeking someone with:

• General understanding of compliance or supervisory issues preferred.
• Ability to make reasonable decisions in a timely manner.
• Ability to work in a dynamic fast-paced environment.
• Self-motivated to manage work independently and strong organizational skills to effectively prioritize throughout the day. Ability to build and maintain relationships with various individuals and areas throughout the firm.
• Collaboration and problem-solving skills.
• Identify trends and patterns to determine if follow-up or escalation is required to Compliance or additional process improvements are needed.
• Effectively lead department efforts.
• Applicable professional certifications preferred Series Professional certifications:FINRA Securities Industry Essentials (SIE), Series 7, and 63 or 66 registrations.

Basic Qualifications

• Bachelor's degree, or equivalent work experience
• Typically more than three years of applicable experience
• Series 7 (at minimum), and Series 63 or 66 registrations required

Preferred Skills/Experience

• FINRA Series 24 highly preferred; the successful hire will be asked to take the examination
• Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Intermediate 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
• 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