U.S. Bank · 4 hours ago
Deputy Chief Compliance Officer
Milwaukee, WI
Full-time
Hybrid
Director/Executive
$144K/yr - $169K/yr
10+ years expU.S. Bank is committed to helping customers and businesses make better financial decisions while supporting community growth. The Deputy Chief Compliance Officer will support the Chief Compliance Officer in ensuring compliance with securities laws and regulations, managing compliance projects, and overseeing teams within Regulatory Support Services.
BankingFinancial ServicesInsuranceMortgageWealth Management
Responsibilities
Providing support to the Chief Compliance Officer including:
Developing and administering the Compliance program
Overseeing, maintaining and adjusting policies and procedures (including the development of new policies) to meet regulatory requirements and expectations, both domestic and foreign (Cayman Islands, EU, other)
Overseeing and working closely with corporate partners (i.e. risk, law division, corporate compliance) and business lines to address federal and state regulatory changes and to review/complete gap analysis and assist with action plan development
Providing compliance direction and advice in all areas applicable to the business lines including support for longer term compliance projects, internal and external audit matters and digital innovation projects
Managing certain regulatory documents and filings, such as the TA-2 filing
Overseeing corporate governance of domestic and offshore affiliates including review and preparation of Board Materials for various GFS entities
Overseeing and managing intra-company and third party service provider outsourcing arrangements, including updating procedures/programs to align with domestic and foreign regulations
Assisting with strategic initiatives including implementation of new service offerings and vendor relationships
Supporting selected firm-wide compliance initiatives and project management oversight in some instances, such as records management, data protection
Developing and overseeing various client and senior management reporting and departmental metrics, including reviewing and approving of compliance events and client communications
Overseeing project management of RSS departmental initiatives
Participating in client due diligence visits as needed
Seeking improvement opportunities and efficiencies in team processes
Other duties as assigned
Overseeing RSS Contracts, RSS Testing, Compliance and Project Management
Manage and provide guidance as needed. Each function has at least one manager/employee that is a direct report
Oversee contract management system implementation project to ensure project stays on track and meets deliverables
Oversee the testing team’s quarterly reporting and meet periodically with the testing team manager to support as needed
Oversee projects that direct reports are assigned to manage
Qualification
Required
Bachelor's or Master's degree in accounting, finance, securities law or related field, certified public accountant or law degree preferred
Ten or more years of experience in auditing, accounting, legal or regulatory compliance activities
Ten or more years of experience in investment securities or regulatory compliance activities
Five or more years of management experience
Preferred
Strong knowledge of Federal securities regulations (1940 Act, Advisers Act), knowledge of foreign securities regulations a plus
Strong organization, analytical and project management skills
Strong critical thinking skills and proven track record demonstrating innovative problem-solving and implementation of creative solutions
Strong planning, implementation and negotiation skills
Ability to work both independently and collaboratively within cross-functional teams
Demonstrated agility in responding to shifting priorities and business requirements
Effective interpersonal, verbal and communication skills
Proficient computer skills, especially Microsoft Office applications
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
Company
U.S. Bank
At U.S.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$991MKey Investors
U.S. Department of the TreasuryMitsubishi UFJ Financial Group
2023-09-29Post Ipo Debt· $55M
2023-08-03Post Ipo Debt· $936M
1978-01-13IPO
Leadership Team
John C Stern
CFO
Shruti Patel
Executive Vice President & GM, CPO- Business Banking segment
Recent News
2026-01-22
2026-01-20
2026-01-20
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