Compliance Testing Analyst

U.S. Bank•St. Louis, MO

2d•Hybrid

About The Position

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. Conduct regulatory compliance testing within the Corporate & Commercial Banking (CCB) business line. Assess the business line’s compliance with MSRB, CFTC, FINRA, 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.

Requirements

Bachelor's degree, or equivalent work experience
Typically more than six years of applicable experience
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Considerable 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
Effective relationship building and negotiation skills
Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

Nice To Haves

FINRA Series 7, Series 53 and/or FINRA Series 24 licenses preferred

Responsibilities

Develop comprehensive testing plans
Determine representative sample selection
Execute testing
Communicate findings
Recommend corrective action

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
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension