U.S. Bank
CQA Analyst - Regulatory Compliance Testing
U.S. Bank, Charlotte, North Carolina, United States, 28245
CQA Analyst - Regulatory Compliance Testing
Join to apply for the
CQA Analyst - Regulatory Compliance Testing
role at
U.S. Bank
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.
Job Description Conduct regulatory compliance reviews of brokerage, investment advisory, institutional capital markets and investment service activities within Compliance Quality Assurance. Analysts are responsible for developing testing materials, conducting compliance testing, formulating conclusions, consulting with appropriate resources and assembling workpapers and may lead reviews.
Assessing assigned business line’s compliance with applicable internal policies and procedures, the adequacy of internal controls, and compliance with SEC, FINRA, MSRB, OCC, and applicable State laws/regulations. Successful candidate will develop comprehensive testing plans, determine representative sample selection, execute testing, and communicate findings, as well as recommend corrective action.
Job Duties
Conduct compliance reviews of the business line’s brokerage, investment advisory, institutional capital markets and investment service activities to ensure adherence with applicable procedures and regulatory requirements.
Responsible for effective verbal communication of testing results to the Manager, including well‑written draft reports, and for responding to and/or escalating significant risks as appropriate.
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.
Basic Qualifications
Bachelor’s degree, or equivalent work experience.
Typically more than six years of applicable experience.
Preferred Skills/Experience
Excellent organization skills, ability to manage multiple priorities, ability to meet time‑sensitive deadlines.
Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment.
Hyper‑organization, responsiveness, and a meticulous eye for detail—you catch what others miss and follow through every time.
A proactive, self‑starting mindset—you take initiative, anticipate roadblocks, and don’t wait to be told what needs doing.
Comfort working in ambiguity and building structure as you go—you thrive in environments where the path isn’t fully mapped out.
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, products/services, systems, and associated risks/controls.
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the business line.
Thorough knowledge of Risk/Compliance/Audit competencies.
Proficient computer skills, especially Microsoft Office applications.
FINRA 7 and 24 licenses.
Location expectations This role requires working from a U.S. Bank location three (3) or more days per week.
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
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.
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.
Salary range: $105,400.00 – $124,000.00 (based on the primary location; the actual range 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).
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.
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.
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CQA Analyst - Regulatory Compliance Testing
role at
U.S. Bank
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.
Job Description Conduct regulatory compliance reviews of brokerage, investment advisory, institutional capital markets and investment service activities within Compliance Quality Assurance. Analysts are responsible for developing testing materials, conducting compliance testing, formulating conclusions, consulting with appropriate resources and assembling workpapers and may lead reviews.
Assessing assigned business line’s compliance with applicable internal policies and procedures, the adequacy of internal controls, and compliance with SEC, FINRA, MSRB, OCC, and applicable State laws/regulations. Successful candidate will develop comprehensive testing plans, determine representative sample selection, execute testing, and communicate findings, as well as recommend corrective action.
Job Duties
Conduct compliance reviews of the business line’s brokerage, investment advisory, institutional capital markets and investment service activities to ensure adherence with applicable procedures and regulatory requirements.
Responsible for effective verbal communication of testing results to the Manager, including well‑written draft reports, and for responding to and/or escalating significant risks as appropriate.
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.
Basic Qualifications
Bachelor’s degree, or equivalent work experience.
Typically more than six years of applicable experience.
Preferred Skills/Experience
Excellent organization skills, ability to manage multiple priorities, ability to meet time‑sensitive deadlines.
Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment.
Hyper‑organization, responsiveness, and a meticulous eye for detail—you catch what others miss and follow through every time.
A proactive, self‑starting mindset—you take initiative, anticipate roadblocks, and don’t wait to be told what needs doing.
Comfort working in ambiguity and building structure as you go—you thrive in environments where the path isn’t fully mapped out.
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, products/services, systems, and associated risks/controls.
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the business line.
Thorough knowledge of Risk/Compliance/Audit competencies.
Proficient computer skills, especially Microsoft Office applications.
FINRA 7 and 24 licenses.
Location expectations This role requires working from a U.S. Bank location three (3) or more days per week.
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
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.
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.
Salary range: $105,400.00 – $124,000.00 (based on the primary location; the actual range 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).
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.
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.
#J-18808-Ljbffr