Strategic Compliance & Risk Examiner

U.S. Bank; 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

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.