Compliance Representative

U.S. Bank • Saint Paul, MN • 2h ago

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:

Respond to regulatory inquiries

Review and resolution of customer complaints

Review potential policy violations

Back up reporting and other team related tasks and ad hoc projects

Basic Qualifications

Bachelor's degree, or equivalent work experience

Typically more than five years of applicable experience

FINRA Series 7, Series 24 and Series 53 licenses are required

Preferred Skills/Experience

Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business

Advanced 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

Applicable professional certifications

Location Expectations

The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

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://careers.usbank.com/global/en/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 (https://careers.usbank.com/global/en/benefits/us) .

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.

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 (https://careers.usbank.com/verification-of-eligibility-for-employment) .

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: $92,820.00 - $109,200.00

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.

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

Similar Jobs

Warehouse Coordinator

Option Care Health • Roseville, MN • 7min ago

Manufacturing & Warehouse

Extraordinary Careers. Endless Possibilities. With the nation's largest home infusion provider, there is no limit to the growth of your career. Option Care Health, Inc. is the largest independent home and alternate site...

7min ago

Go to Apply

Sales Operations Manager

Winland Foods • Saint Paul, MN • 7min ago

Management & Administrative

Winland Foods is seeking a process-minded individual who has the ability to lead through complex issues to support our Sales Operations. The Sales Operations Manager partners with key stakeholders across the Winland ente...

7min ago

Go to Apply

Operations Manager

Actalent • Minneapolis, MN • 8min ago

Management & Administrative

Job Title: Operations Manager Job Description This position involves directing work activities and overseeing all processes from manufacturing through to shipping within the organization. The role is critical in establis...

8min ago

Go to Apply

Operations Manager

Republic Services • Circle Pines, MN • 11min ago

Management & Administrative

POSITION SUMMARY: Within a business unit, the Operations Manager - Hauling is responsible for managing the collections activities for commercial, industrial and residential customers, as well as container delivery and pi...

11min ago

Go to Apply

Manager Medical Drug Strategy Operations

Highmark Health • Saint Paul, MN • 13min ago

Hospital & Medical

Company : Highmark Inc. Job Description : JOB SUMMARY This job will provide direction and oversight to staff members for the end-to-end operations management of Highmark's traditional and innovative drug value strategy f...

13min ago

Go to Apply

Seasonal Yard Warehouse Rep

US LBM LLC • River Falls, WI • 19min ago

Manufacturing & Warehouse

JOB REQUIREMENTS: Arrow Building Center, Lampert Lumber and Lyman Lumber Companies, divisions of US LBM provides a wide range of building materials to construction professionals, combining the advantages of our national...

19min ago

Go to Apply

Warehouse Janitorial Cleaner

ABM Industries • Minneapolis, MN • 24min ago

Manufacturing & Warehouse

Overview We are looking for a reliable and experienced Warehouse Janitorial Cleaner to maintain cleanliness and sanitation standards in building/facilities. This role involves operating specialized equipment, handling cl...

24min ago

Go to Apply

Analyst, Functional Transformation SAP

Deloitte • Minneapolis, MN • 47min ago

Our Deloitte Enterprise Performance team is at the forefront of enterprise technology, working across finance, supply chain, and IT operations to deliver holistic performance improvement and digital transformation. Join...

47min ago

Go to Apply

Director, Clinical Management

Otsuka America Pharmaceutical Inc. • Saint Paul, MN • 53min ago

Hospital & Medical

Job Summary In collaboration with the Senior Director of Clinical Management, the Director is responsible for the operational strategy and management of Otsuka clinical programs, including coordination with other relevan...

53min ago

Go to Apply

Staff Nurse (RN) - Inpatient Psychiatry

Minnesota Visiting Nurse Agency • Minneapolis, MN • 1h ago

Hospital & Medical

SUMMARY: We are currently seeking aStaff Nurseto join ourInpatient Psychiatry unit. This position is a0.8 FTE (8 shifts/ pay period), 8-hour shifts, Day/Nights and Every Other Weekend. RESPONSIBILITIES: Within the @conte...

1h ago

Go to Apply

Subscribe to get new jobs sent directly to you
(no charge, cancel anytime)