U.S. Bank
Institutional Broker-Dealer Compliance Head
U.S. Bank, Charlotte, North Carolina, United States, 28245
Overview
At U.S. Bank, we’re on a journey to do our best. Helping customers and businesses make better and smarter financial decisions and supporting communities to grow and succeed. A career with U.S. Bank offers opportunities to discover what makes you thrive at every stage of your career—from Day One. Job Description
Partners with Senior to Executive Leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, RCA Managers, and other Senior RCA Managers as appropriate to oversee the successful creation, implementation, and maintenance of an effective risk management framework. Accountable for projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and drives solutions that minimize losses resulting from inadequate internal processes, systems, or human errors. Accountable for the active identification, response, and/or escalation of risks as appropriate. Influences policies and procedures to maximize profit potential and minimize regulatory exposure. Accountable for an effective partnership between the Line of Business and the Lines of Defense. Manages a team of RCA Professionals with responsibility for staffing, performance management, prioritizing, guidance, and training. Responsibilities
Partner with Senior to Executive Leaders and RCA stakeholders to oversee risk management framework activities across the assigned line of business. Identify gaps, drive solutions, and escalate risks as appropriate to minimize losses and regulatory exposure. Foster an effective partnership between the Line of Business and the Lines of Defense; manage RCA professionals with staffing, performance management, prioritization, guidance, and training. Basic Qualifications
Bachelor's or advanced degree, or equivalent work experience Typically more than 15 years of applicable experience Preferred Skills/Experience
Considerable understanding of applicable laws, regulations, financial services, and regulatory trends affecting the assigned line of business Understanding of the business line’s operations, products/services, systems, and related risks/controls Thorough knowledge of Risk/Compliance/Audit competencies Strong leadership and management skills for processes, projects, and people Ability to manage stressful situations effectively Strong written and verbal communication skills Strong analytical, problem-solving, and negotiation skills Proficient computer skills, especially Microsoft Office Applicable professional certifications Disability Accommodations
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. 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. Our benefits are designed to help you and your family boost health, protect financial security, and provide peace of mind. 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. 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. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on location. 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: $164,390.00 - $193,400.00 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 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.
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At U.S. Bank, we’re on a journey to do our best. Helping customers and businesses make better and smarter financial decisions and supporting communities to grow and succeed. A career with U.S. Bank offers opportunities to discover what makes you thrive at every stage of your career—from Day One. Job Description
Partners with Senior to Executive Leaders in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, RCA Managers, and other Senior RCA Managers as appropriate to oversee the successful creation, implementation, and maintenance of an effective risk management framework. Accountable for projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and drives solutions that minimize losses resulting from inadequate internal processes, systems, or human errors. Accountable for the active identification, response, and/or escalation of risks as appropriate. Influences policies and procedures to maximize profit potential and minimize regulatory exposure. Accountable for an effective partnership between the Line of Business and the Lines of Defense. Manages a team of RCA Professionals with responsibility for staffing, performance management, prioritizing, guidance, and training. Responsibilities
Partner with Senior to Executive Leaders and RCA stakeholders to oversee risk management framework activities across the assigned line of business. Identify gaps, drive solutions, and escalate risks as appropriate to minimize losses and regulatory exposure. Foster an effective partnership between the Line of Business and the Lines of Defense; manage RCA professionals with staffing, performance management, prioritization, guidance, and training. Basic Qualifications
Bachelor's or advanced degree, or equivalent work experience Typically more than 15 years of applicable experience Preferred Skills/Experience
Considerable understanding of applicable laws, regulations, financial services, and regulatory trends affecting the assigned line of business Understanding of the business line’s operations, products/services, systems, and related risks/controls Thorough knowledge of Risk/Compliance/Audit competencies Strong leadership and management skills for processes, projects, and people Ability to manage stressful situations effectively Strong written and verbal communication skills Strong analytical, problem-solving, and negotiation skills Proficient computer skills, especially Microsoft Office Applicable professional certifications Disability Accommodations
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. 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. Our benefits are designed to help you and your family boost health, protect financial security, and provide peace of mind. 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. 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. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on location. 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: $164,390.00 - $193,400.00 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 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.
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