Compliance Representative

Us Bank; Cincinnati (OH); On-site; USD 75,820 - 89,200; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) retirement plan

Paid vacation and holidays

Parental leave

Disability benefits

Job summary

U.S. Bank is seeking a qualified Risk/Compliance professional to partner with assigned Line of Business and RCA teams to implement and oversee an effective risk management framework. The role involves identifying gaps, informing solutions to minimize losses, and escalating risks as needed.

Primary responsibilities include reviewing policy violations, resolving customer complaints, and supporting reporting and team tasks to ensure regulatory compliance across the business lines.

Qualifications

• Bachelor's degree or equivalent work experience required.
• 3+ years of applicable experience typically required.
• Series 7, 24, and 63/66 required; Series 4 required or willing to obtain within 180 days.

Responsibilities

• Review potential policy violations.
• Review and resolve customer complaints.
• Back up reporting and related team tasks.

Skills

Analytical skills

Process facilitation

Project management

Presentation skills

Interpersonal communication

Written and verbal communication

Professional certifications

Education

Bachelor's degree or equivalent experience

Finance licenses (Series 7/24/63/66)

Tools

Microsoft 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.

Primary Responsibilities

• Review potential policy violations
• Review and resolution of customer complaints
• Back up reporting as well as other team related tasks.

Basic Qualifications

• Bachelor's degree, or equivalent work experience
• Typically more than three years of applicable experience
• Series 7, Series 24, and Series 63 or 66 are required. Also, Series 4 required and/or must be willing to obtain within 180 days

Preferred Skills & Experience

• 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
• Ability to adapt to a changing environment and handle multiple priorities
• Strong attention to detail & organizational skills
• Applicable professional certifications

Location expectations

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

We are hiring in the following locations:

• St. Paul, MN
• Cincinnati, OH
• Charlotte, NC
• Tempe, AZ

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.

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: $75,820.00 - $89,200.00

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.

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.

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