Investments and Insurance Compliance Examiner

Job Title

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.

We are seeking someone with :

General understanding of compliance or supervisory issues preferred.

Ability to make reasonable decisions in a timely manner.

Ability to work in a dynamic fast paced environment.

Self-motivated to manage work independently and strong organizational skills to effectively prioritize throughout the day. Ability to build and maintain relationships with various individuals and areas throughout the firm.

Collaboration and problem-solving skills.

Identify trends and patterns to determine if follow-up or escalation is required to Compliance or additional process improvements are needed.

Effectively lead department efforts.

Applicable professional certifications preferred Series Professional certifications : FINRA Securities Industry Essentials (SIE), Series 7, and 63 or 66 registrations.

Basic Qualifications

Bachelor's degree, or equivalent work experience

Typically more than three years of applicable experience

Series 7, and 63 or 66 registrations required. (Series 7, at minimum, must be held & active. If others are not held, must obtain within 180 days.)

Preferred Skills / Experience

FINRA Series 24 highly preferred; the successfully hire will be asked to take the examination

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

Intermediate 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

Travel : May travel up to 25%.

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.

• We are hiring in the following locations :

Charlotte, NC

St. Paul, MN

Tempe, AZ

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 (some may vary based on role, location or hours) :

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

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.

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 : $75,820.00 - $89,200.00

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.