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U.S. Bank

Runs a national bank and processes card payments

Broker Dealer Compliance Examiner

Regulatory Compliance & EthicsConfirmed live in the last 24 hours
Full-timeIrving, TX, USA

About the Job

Requirements

  • A bachelor's degree or equivalent work experience is required.
  • Typically more than three years of applicable experience is required.
  • Series 7 registration is required, along with Series 63 or Series 66 registration.
  • A general understanding of compliance or supervisory issues is preferred.
  • The ability to make reasonable decisions in a timely manner is required.
  • The ability to work in a dynamic, fast-paced environment is required.
  • The candidate must be self-motivated to manage work independently and have strong organizational skills to effectively prioritize throughout the day.
  • The ability to build and maintain relationships with individuals and areas throughout the firm is required.
  • Collaboration and problem-solving skills are required.
  • The ability to identify trends and patterns to determine whether follow-up, escalation to Compliance, or process improvements are needed is required.
  • Applicable professional certifications are preferred, including Financial Industry Regulatory Authority Securities Industry Essentials, Series 7, and Series 63 or 66 registrations.
  • Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends affecting the assigned line of business is preferred.
  • Intermediate understanding of the business line’s operations, products and services, systems, and associated risks and controls is preferred.
  • Thorough knowledge of Risk, Compliance, and Audit competencies is preferred.
  • Strong analytical, process facilitation, and project management skills are preferred.
  • Effective presentation, interpersonal, written, and verbal communication skills are preferred.
  • Proficient computer navigation skills using various software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations, are preferred.
  • Applicable professional certifications are preferred.

Responsibilities

  • Partner with the assigned Line of Business, other Risk/Compliance/Audit professionals, and Risk/Compliance/Audit Managers to create, implement, maintain, review, or oversee an effective risk management framework, depending on the function.
  • Participate in projects and activities that ensure compliance with applicable federal, state, and local laws and regulations.
  • Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems, or human errors.
  • Identify, respond to, and escalate risks as appropriate.
  • Serve as a functional liaison between the Line of Business and the Lines of Defense.
  • Effectively lead department efforts.

Desired Qualifications

  • FINRA Series 24 is highly preferred; the successful hire will be asked to take the examination.

About the Company

U.S. Bank

Runs a national bank and processes card payments

U.S. Bank is one of the largest banks in the United States, serving consumers, small businesses, corporations, and government agencies with banking, lending, payments, and wealth management. Its Elavon subsidiary is one of the world's biggest processors of card payments for merchants, handling sales in the United States, Canada, and Europe. People and small businesses use its branches and mobile app for checking, savings, credit cards, mortgages, and loans, while companies use it for corporate cards and cash management, and the bank earns money from loan interest and fees. U.S. Bank received national bank charter No. 24 in 1863, under President Abraham Lincoln, and is based in Minneapolis as the main subsidiary of U.S. Bancorp.

Company size
10,001+
Company stage
IPO
Headquarters
Minneapolis, MN
Founded
1863

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