Director, Examinations & Dispute Resolution

U.S. Bank; Chicago (IL); Hybrid; USD 150,000 - 176,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability coverage

Parental leave

401(k) retirement plan

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank is seeking a seasoned leader to head Examinations and Dispute Resolution, overseeing broker-dealer examinations, complaints, and associated person activity review.

You will partner with Compliance, Legal, HR, and business lines to ensure an effective risk management framework. You will guide teams, drive regulatory alignment, and deliver high-quality reports while maintaining strong relationships with stakeholders.

Qualifications

• Bachelor's degree required or equivalent work experience.
• Typically more than ten years of applicable experience.
• Strong leadership and management skills of processes, projects, and people.
• Effective written and verbal communication skills.
• Strong analytical, problem-solving and negotiation skills.

Responsibilities

• Manage a team of investment and insurance compliance professionals across broker-dealer examinations, complaints, and associated person activity review.
• Develop and approve examination schedules, conduct due diligence, draft high-quality reports, and oversee regulatory compliance.
• Oversee investigation, documentation, timely resolution, and regulatory reporting for complaints and related activities.
• Provide staff training, onboarding/offboarding, licensing, workload management, and program documentation.
• Partner with Chief Compliance Officer and stakeholders to align priorities and corrective actions.
• Collaborate with Legal, HR, Sales, and others on escalations and proactive measures.

Skills

Leadership

Communication

Analytical

Negotiation

Education

Bachelor's degree

Job description

U.S. Bank is seeking a seasoned leader to head Examinations and Dispute Resolution, overseeing broker-dealer examinations, complaints, and associated person activity review.

You will partner with Compliance, Legal, HR, and business lines to ensure an effective risk management framework. You will guide teams, drive regulatory alignment, and deliver high-quality reports while maintaining strong relationships with stakeholders.