Partner with assigned Line of Business and Risk/Compliance/Audit professionals to create, implement, maintain, review or oversee an effective risk management framework and ensure compliance with applicable federal, state, and local laws and regulations.
Pay Range: $81,515.00 - $95,900.00
- Partner with assigned Line of Business and Risk/Compliance/Audit professionals
- Create, implement, maintain, review or oversee an effective risk management framework
- Ensure compliance with applicable federal, state, and local laws and regulations
- Identify gaps and inform solutions to minimize losses
- Respond to and/or escalates risks as appropriate
- Bachelor's degree
- Nice to have: FINRA Series 24
- Nice to have: intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends
- Nice to have: intermediate understanding of business line operations, products/services, systems, and associated risks/controls
- Nice to have: strong analytical, process facilitation and project management skills
- 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
Broker Dealer Compliance ExaminerU.S. Bank National Association · Irving, US