Senior Compliance QA Lead: Fiduciary Testing

U.S. Bank; Tempe (AZ); On-site; USD 105,000 - 124,000; Full time

Benefits offered by this job

Healthcare

Life insurance

Disability insurance

Paid time off

Retirement plan

Job summary

U.S. Bank in Tempe, AZ is seeking a Compliance Quality Assurance Lead Analyst to support the IRRA second line. You will partner with BUs and risk/compliance professionals to implement and oversee a fiduciary risk framework, conduct testing, identify control weaknesses, and propose mitigation strategies.

You will report testing results to the Manager and coach Analysts as needed. While not a people manager, you will provide oversight and feedback and work from a U.S.

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically 6+ years of applicable experience.

Responsibilities

• Partner with BUs and risk teams to oversee the risk management framework.
• Lead testing to confirm fiduciary/trust compliance with laws and regulations.
• Identify control weaknesses and propose mitigations.
• Communicate results and escalate significant risks to leadership.
• Provide oversight and coaching to supporting Analysts.

Skills

Fiduciary principles

Trust administration

Investment management

Fiduciary regulations

Risk assessments

Audits

Analytical skills

Communication skills

Legal compliance

JD / certifications

Education

Bachelor's degree or equivalent

Job description

U.S. Bank in Tempe, AZ is seeking a Compliance Quality Assurance Lead Analyst to support the IRRA second line. You will partner with BUs and risk/compliance professionals to implement and oversee a fiduciary risk framework, conduct testing, identify control weaknesses, and propose mitigation strategies.

You will report testing results to the Manager and coach Analysts as needed. While not a people manager, you will provide oversight and feedback and work from a U.S.