Compliance Representative

U.S. Bank

Compliance Representative at U.S. Bank managing risk and compliance frameworks.

Posted 7/14/2026full-timeCincinnati • Arizona, Minnesota, North Carolina, Ohio • 🇺🇸 United StatesMid-LevelSenior💰 $75,820 - $89,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Risk Management Frameworks, Compliance with Federal and State Regulations, and effective communication with stakeholders. Proficient in analyzing risks and implementing solutions to enhance operational efficiency and minimize losses.

Highest-signal resume keywords

Risk Management FrameworkSeries 7 CertificationSeries 24 CertificationSeries 63 CertificationProject Management Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AnalysisRegulatory ComplianceProcess FacilitationFinancial Services KnowledgePolicy ReviewCustomer Complaint ResolutionOperational Risk ControlData AnalysisProject ManagementIntermediate Computer Skills

Soft Skills

Analytical SkillsInterpersonal SkillsAttention to DetailOrganizational SkillsEffective Communication

Tools & Technologies

Microsoft OfficeWord Processing SoftwareSpreadsheet SoftwareDatabase SoftwarePresentation Software

Certifications & Qualifications

Series 4 CertificationApplicable Professional Certifications

Industry Keywords

Risk/Compliance/AuditFederal RegulationsState RegulationsLocal LawsFinancial Services

About the role

Key responsibilities & impact

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
Back up reporting as well as other team related tasks.

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
Typically more than three years of applicable experience
Series 7, Series 24, and Series 63 or 66 are required. Also, 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
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

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