U.S. Bank

CQA Analyst – Regulatory Compliance Testing

U.S. Bank

full-time

Posted on:

Location Type: Hybrid

Location: Minneapolis • Minnesota • Montana • United States

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Salary

💰 $105,400 - $124,000 per year

About the role

  • Conduct compliance reviews of the business line’s brokerage, investment advisory, institutional capital markets and investment service activities to ensure adherence with applicable procedures and regulatory requirements
  • Responsible for effective verbal communication of testing results to the Manager, including well written draft reports, and for responding to and/or escalating significant risks as appropriate
  • Identify and recommend corrective action necessary to address compliance gaps or improve adherence to regulatory requirements
  • Develop a strong understanding of the business line’s key risks and corresponding controls
  • Evaluate the adequacy of the business line’s controls
  • Maintain thorough documentation of work performed and support conclusions
  • Provide detailed written reports summarizing findings and present to the testing manager
  • Participate in compliance projects and initiatives, as necessary
  • Keep abreast of legal and regulatory matters affecting the compliance testing program.

Requirements

  • Bachelor's degree, or equivalent work experience
  • Typically more than six years of applicable experience
  • Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines
  • Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment
  • Hyper-organization, responsiveness, and a meticulous eye for detail—you catch what others miss and follow through every time
  • A proactive, self-starting mindset—you take initiative, anticipate roadblocks, and don’t wait to be told what needs doing
  • Comfort working in ambiguity and building structure as you go—you thrive in environments where the path isn’t fully mapped out
  • Strong knowledge of laws and regulations associated with business line activities
  • Strong oral and written interpersonal communication skills
  • Thorough understanding of the business line’s operations, product/services, systems, and associated risks/controls
  • Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the business line
  • Thorough knowledge of Risk/Compliance/Audit competencies
  • Proficient computer skills, especially Microsoft Office applications
  • FINRA 7 and 24 licenses.
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

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
compliance reviewsregulatory requirementsrisk assessmentcontrols evaluationdocumentationreport writingcompliance projectsfinancial services knowledgelaws and regulationsRisk/Compliance/Audit competencies
Soft skills
verbal communicationwritten communicationorganization skillsinitiativeteamworkattention to detailproactive mindsetadaptabilitytime managementresponsiveness
Certifications
Bachelor's degreeFINRA 7 licenseFINRA 24 license