Head of Examinations and Dispute Resolution

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.

This Head of Examinations and Dispute Resolution role involves the management of a team of investment and insurance compliance professionals. It requires partnering with stakeholders across the Business Line and Corporate Compliance to create, implement, maintain, review, or oversee an effective risk management framework that spans three discrete programs. 

The successful candidate will participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations. This role will include the management of programs required by regulation and licensed staff. 

Position Responsibilities

• Responsible for ensuring adherence to regulatory and internal requirements regarding broker-dealer Examination, Complaints, and Associated Person Activity Review programs.

• Management of broker-dealer Examination program, including, but not limited to, development and approval of examination schedule (timebound and risk-based engagements), due diligence and exam preparation, dispositioning findings, and drafting high-quality reports.

• Management of broker-dealer Complaints program including, but not limited to, investigative work with relevant parties, documentation for files, timely resolution, and regulatory reporting obligations.

• Management of the broker-dealer Associated Person Activity Review program including, but not limited to, case intake, policy violation referrals, recommended actions (i.e., disciplinary, and non-disciplinary), regulatory reporting obligations.

• Provide managerial support training, onboarding/offboarding, staff licensing requirements, staff workloads, process optimization efforts, reporting routines, recordkeeping, and program documentation (including policies, procedures, and controls).

• Partner with the Chief Compliance Officer and Business Line Supervision to ensure alignment of priorities, observations, and corrective actions.

• Partner with Legal, Human Resources, Business Line Supervision, Sales Management, and other key stakeholders on Associated Person activity (escalations and proactive measures, including training and presentations).

• Responsible for regulatory examinations and inquiries, as well as internal audit and/or reviews.

• Track regulatory trends and participate in related discussions with impact to Examination, Complaints, and Associated Person Activity Review programs.

• Draft reporting for internal parties, including Senior Management, Business Line, and Chief Compliance Officer.

• Lead or partner with internal parties to evaluate and onboard third-party system providers.

• Other projects, as assigned.

Basic Qualifications

• Bachelor's degree, or equivalent work experience.
• Typically, more than ten years of applicable experience.
• Strong leadership and management skills of processes, projects, and people.
• Effective written and verbal communication skills. 
• Strong analytical, problem-solving and negotiation skills.

Preferred Skills and Experience

• FINRA Securities Industry Essentials (SIE), Series 7, and 24 registrations. Additional licenses may be required after hire.

• This role will require the ability to travel up to 25% (related to Examinations).

• Prefer insurance related licensure.

• 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.

• Considerable knowledge of risk, compliance, and audit competencies.

• Strong project management, project planning, time management, and coaching skills.

• Identify trends and patterns to determine if follow-up or escalation is required or additional process improvements are needed.

• Self-motivated to manage work independently and strong organizational skills to effectively prioritize throughout the day. Ability to build and maintain relationships with various individuals and areas throughout the firm.

• Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs.

• Excellent presentation, interpersonal, written, and verbal communication skills.

• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and spreadsheets, databases, and presentations.

• Excellent people-management skills.

Location Requirements
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.

Benefits: 

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:

• 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

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.

E-Verify

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.

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.

Posting may be closed earlier due to high volume of applicants.