U.S. Bank Compliance Quality Assurance Analyst - Remote in Helena, Montana
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.
Conduct regulatory compliance testing of capital markets, swap dealer, MSRB and Volcker Rule covered activities primarily within the Corporate & Commercial Banking (CCB) business line. Assess the business line’s compliance with CFTC, FINRA, MSRB, OCC and SEC requirements and the adequacy of related controls. Successful candidate will develop comprehensive testing plans, determine representative sample selection, execute testing, and communicate findings, as well as recommend corrective action.
The ideal candidate will perform the following essential functions:
Conduct testing of the capital markets, swap dealer, MSRB and Volcker Rule covered activities for compliance with regulatory requirements.
Identify and recommend corrective action necessary to address compliance gaps or improve adherence to regulatory requirements.
Develop a strong understanding of the business line’s key risks and corresponding controls.
Evaluate the adequacy of the business line’s controls.
Maintain thorough documentation of work performed and support conclusions.
Provide detailed written reports summarizing findings and present to the testing manager.
Participate in compliance projects and initiatives, as necessary
Keep abreast of legal and regulatory matters affecting the compliance testing program.
Bachelor's degree, or equivalent work experience
Seven to ten years of applicable experience
5+ years of experience in testing/regulatory compliance activities
Strong knowledge of laws and regulations associated with business line activities
Strong oral and written interpersonal communication skills
Thorough understanding of the business line’s operations, product/services, systems, and associated risks/controls
Thorough knowledge of the business line and the regulatory trends that could impact it
Thorough knowledge of Risk/Compliance/Audit competencies
Strong process facilitation, project management and analytical skills
Business acumen and credibility
Self-starter with the ability to manage the workload and handle competing priorities
Proficient computer skills, especially Microsoft Office applications
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 (https://www.usbank.com/careers/disability-accommodation-for-applicants.html) .
Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.
Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting usbank.com/careers (https://www.usbank.com/careers/index.html) .
EEO is the Law
Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) poster.
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 (https://www.usbank.com/careers/verification-of-eligibility-for-employment.html) .
Salary range reflected is an estimate of base pay and is for the primary location. Base pay range may vary if an offer is made for work in a different location. Pay Range: $95,540.00 - $112,400.00 - $123,640.00
Due to legal requirements, U.S. Bank requires that the successful candidate hired for some positions be fully-vaccinated for COVID-19, absent being granted an accommodation due to a medical condition, pregnancy, or sincerely held religious belief or other legally required exemption. For these positions, as part of the conditional offer of employment, the successful candidate will be asked to provide proof of vaccination or approval for an accommodation or exemption upon hire.
U.S. Bank will consider qualified applicants with criminal histories in a manner consistent with the San Francisco Fair Chance Ordinance.
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.