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U.S. Bank · 6 hours ago

Compliance Representative

Charlotte, NC

Full-time

Onsite

Mid Level

3+ years exp

U.S. Bank is on a journey to help customers and businesses make better financial decisions. They are seeking a Compliance Representative to partner with various teams to create and oversee an effective risk management framework and ensure compliance with laws and regulations.

BankingFinancial ServicesInsuranceMortgageWealth Management

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

Qualification

Series 7Series 24Series 63Risk/Compliance/Audit knowledgeAnalytical skillsProject management skillsComputer navigation skillsInterpersonal skillsCommunication skillsAttention to detailOrganizational skills

Required

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

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