Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
About the role
- Compliance Representative managing risk and compliance under U.S. Bank's financial services. Involves collaboration across various teams and addressing policy violations and customer complaints.
Responsibilities
- Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to 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
- 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
Requirements
- Bachelor's degree, or equivalent work experience
- Typically 3+ years of applicable experience
- Series 7, Series 24, and Series 63 or 66 required
- Series 4 required and/or must be willing to obtain within 180 days
- 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
- 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
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
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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