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

This position will manage a team of Compliance Risk Professionals, drive compliance and supervision process/procedures, and provide oversight, coaching and career development for team.

• Work with Teams and LOB stakeholders to support consistent approach to delivery of each function to ensure process consistency and effective control practices
• Manage a team in such a way to provide coaching, mentoring and training for team as needs are identified.
• Encourage and facilitate professional growth within the team.
• Successfully identify individual talent for effective assign tasks and responsibilities.
• Perform escalated review of complex transactions identified by the Shared Service Governance and Control team
• Participate in Senior Leadership committees and Working Groups.
• Drive efficiencies within workflows while maintaining a focus on regulatory and policy compliance.
• Utilize quality/testing/monitoring observations to implement best practices and holistic view of current policies/procedures reviewed.
• Participate in meetings and calls, representing the team when discussing policies, products, systems, and other items that impact the department and our processes. Serve as representative on firm initiatives.
• Candidate must possess demonstrated expertise in securities support functions and knowledge of regulatory requirements / agencies for Broker Dealer and Registered Investment Adviser functions.

Basic Qualifications

• Bachelor’s or advanced degree, or equivalent work experience
• Typically more than 15 years of applicable experienc

Preferred Skills/Experience

• Bachelor’s degree in Business, Finance, Communications and/or equivalent education, training and experience.
• 8 to 10 years of financial services or risk management experience or demonstrated equivalent proficiency, and/or equivalent education, training and experience.
• Experience and expertise within securities business – broker dealer, investment advisory, sales and trading, risk management, audit, or similar experience
• Excellent verbal, written and interpersonal skills and the ability to communicate and interact with all levels of management.
• Strong knowledge and leadership skills and the ability to own projects and drive process change.
• Ability to manage implementation of risk program requirements over multiple lines of business.
• Independent thinker with strong analytical skills and the ability to make decisions.
• Excellent time management and organizational skills.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
• Securities licenses preferred (i.e. FINRA Series 7, 24), or similar expertise working directly with regulated businesse

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Engage in risk management activities with the line of business/enabling functions, proactively identifying existing and emerging risks, evaluating the significance of the risks, and providing support in managing acceptance or mitigation of the identified risks.
• Lead a team of risk professionals responsible for executing various support functions and enterprise risk programs in accordance with the program requirements
• Assist business line/compliance leadership with identifying, assessing, controlling, mitigating, and communicating risks associated with processes and decisions. Provide oversight and governance to the assigned business unit regarding its control environment.
• Support the development of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs).
• Provide risk management support and oversight for change activities (both business and regulatory change).
• Provide oversight and support for open risk, audit, and regulatory issues. Evaluate the root cause, the corrective action plans and work with business partners to successfully implement and document remediation.
• Support audit and regulatory exam engagements.
• Communicate with assigned business unit’s leadership regarding activities, trends, and events pertaining to risk, regulatory, audit and loan review activities. Promote various risk initiatives and their supporting metrics.

Basic Qualifications

• Bachelor’s or advanced degree, or equivalent work experience
• Typically more than 15 years of applicable experience

Preferred Skills/Experience

• Bachelor’s degree in Business, Finance, Communications and/or equivalent education, training and experience.
• 8 to 10 years of financial services or risk management experience or demonstrated equivalent proficiency, and/or equivalent education, training and experience.
• Experience and expertise within securities business – broker dealer, investment advisory, sales and trading, risk management, audit, or similar experience
• Excellent verbal, written and interpersonal skills and the ability to communicate and interact with all levels of management.
• Strong knowledge and leadership skills and the ability to own projects and drive process change.
• Ability to manage implementation of risk program requirements over multiple lines of business.
• Independent thinker with strong analytical skills and the ability to make decisions.
• Excellent time management and organizational skills.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
• Securities licenses preferred (i.e. FINRA Series 7, 24), or similar expertise working directly with regulated businesses

The role offers a hybrid/flexible schedule, which means there’s an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
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.

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 (some may vary based on role, location or hours):

• 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 la