• Compliance Representative

    US Bank (Tempe, AZ)


    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.

    Job Description

    Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework. Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors. Identifies, responds and/or escalates risks as appropriate. Serves as a functional liaison between the Line of Business and the Lines of Defense.

    Primary Responsibilities:

    + Review potential policy violations

    + Review and resolution of customer complaints

    + Review of potential elder and vulnerable adult referrals

    + Back up reporting as well as other team related tasks.

    + Support retail consolidation efforts.

    Basic Qualifications:

    + Bachelor's degree, or equivalent work experience

    + Typically 3+ years of applicable experience

    + **Series 7, Series 24, and Series 63 or 66 required. Also, Series 4 required and/or must be willing to obtain within 180 days**

    Preferred Skills/Experience:

    + Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business

    + Intermediate 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

    + Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

    + Ability to adapt to a changing environment and handle multiple priorities

    + Strong attention to detail & organizational skills

    + Applicable professional certifications

     

    _*This role requires working from a U.S. Bank location three (3) or more days per week._

     

    **We are hiring in the following locations:

    + St. Louis, MO

    + St. Paul, MN

    + Cincinnati, OH

    + Charlotte, NC

    + Tempe, AZ

     

    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 (https://careers.usbank.com/global/en/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. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:

     

    + 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

     

    Review our full benefits available by employment status here (https://careers.usbank.com/global/en/benefits/us) .

     
     

    E-Verify

     
     
     

    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.