U.S. Bank
Charlotte, NC
+ 3 other locations
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.
The Compliance Quality Assurance (CQA) Lead Analyst (“Lead Analyst”) is responsible for the administration and execution of testing activities within the Independent Risk Review and Assessments (IRRA) second line organization. Key roles and responsibilities include partnering with the business lines and other Risk, Compliance, and Audit Professionals to help create, implement, maintain, review, and oversee an effective risk management framework.
The Lead Analyst is responsible for projects and/or activities that confirm compliance with applicable federal, state and local laws and regulations, and is responsible for the identification of control and process weaknesses through testing activities. When gaps are identified, the Lead Analysts partners with the business line and Risk Management groups to recommend and influence solutions to mitigate compliance risks. Further, the Lead Analyst is 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. While not a people manager, the Lead Analyst is responsible for providing oversight, coaching, feedback, etc. specific to the work completed by supporting Analysts.
Core Job Duties:
Under direction of the CQA Manager, the Lead Analyst is responsible for providing leadership to other Analysts for assigned Reviews, as well as the management and execution of testing activities that include planning; identification and assessment of compliance, reputation, and customer experience risks; test execution; completion and review of work papers; exception vetting and root cause analysis; verbal and written communications; and reporting, all in accordance with CQA Procedures and guidelines and within established timelines.
For testing activities, the Lead Analyst is responsible for:
Assists the CQA Manager in engaging the CQA Senior Manager in all issue severity decisions to support ratings, including assisting in detailed walk-throughs with Senior Management of all high severity issues and less than satisfactory Review ratings prior to formal submission of the issue/report, as needed.
Assists the CQA Manager in monitoring progress of Reviews against plan and schedule, including making necessary adjustments to scheduled work and necessary reviews to ensure timely delivery of key milestones, and escalates any other issues and risks to allow timely resolution, as needed. Further, assists in providing impacted business lines and other key partners timely status updates for in progress Reviews.
Partners and collaborates closely with the business line Management and the Chief Risk Office (CRO), as well as other key functions such as Corporate Compliance, Enterprise Financial Crimes Compliance, Enterprise Risk Management, and Audit, throughout the lifecycle of all assigned Reviews.
Completes all training and personal development requirements and assists the Manager in on-boarding and training new hires.
Performing other duties as requested by IRRA and CQA Management.
*This role requires working from a U.S. Bank location three (3) or more days per week.
If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our
disability accommodations for applicants
.
Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
Review our full benefits available by employment status here.
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $105,400.00 - $124,000.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.