Compliance Testing Analyst

U.S. Bank

Conducting compliance testing within Corporate & Commercial Banking at U.S. Bank.

Posted 4/30/2026full-timeMinneapolis • Arizona, Minnesota, Montana, North Carolina • 🇺🇸 United StatesMid-LevelSenior💰 $105,400 - $124,000 per yearWebsite

About the role

Key responsibilities & impact

Conduct regulatory compliance testing within the Corporate & Commercial Banking (CCB) business line
Assess the business line’s compliance with MSRB, CFTC, FINRA, OCC and SEC requirements and the adequacy of related controls
Develop comprehensive testing plans
Determine representative sample selection
Execute testing
Communicate findings
Recommend corrective action

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
Typically more than six years of applicable experience
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Considerable 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
Effective relationship building and negotiation skills
Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
Applicable professional certifications: FINRA Series 7, Series 53 and/or FINRA Series 24 licenses preferred

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory compliance testingtesting plans developmentsample selectiontesting executionrisk assessmentcontrols adequacy evaluationprocess facilitationproject management

Soft Skills

analytical skillspresentation skillsinterpersonal skillswritten communication skillsverbal communication skillsrelationship buildingnegotiation skills

Certifications

FINRA Series 7FINRA Series 53FINRA Series 24