Compliance Testing Analyst

U.S. Bank National Association • Minneapolis, MN

2d • Hybrid

About The Position

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
• 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.

Nice To Haves

• Applicable professional certifications: 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 501-1,000 employees