Location: Tempe,AZ, USA
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.
Job Description
We are seeking a highly motivated and analytical Regulatory Review Analyst within our Trust Operations Team. As a Regulatory Review Analyst you will be responsible for conducting reviews on regulatory submissions and ensure compliance with relevant regulations and guidelines. This role involves assessing regulatory documentation, identifying potential issues, and collaborating with internal teams to ensure timely and accurate submissions. An ideal candidate will have an understanding of regulatory requirements such as Regulation 9 and investment guidelines, excellent analytical and problem solving skills.
Additional Responsibilities :
* Prepare reports on the findings from the reviews. Document any discrepancies r issues and provide recommendation for correction actions.
* Communicate with investors, regulatory agencies,, and internal teams to address compliance issues, provide clarity on regulatory requirement and facilitate resolutions of any concerns.
* Analyzes new and pending laws and regulations which directly affect company practices and works with affected areas to ensure appropriate compliance.
* Provide guidance to the team on regulatory updates and implications.
* May be involved in a variety of compliance projects and initiatives regarding information disclosure, legal proceedings, etc.
* Performs periodic reviews to assess level of regulatory compliance.
Basic Qualifications
* Bachelor's degree, or equivalent work experience
* Typically five or more years of experience in regulatory compliance activities
Preferred Skills/Experience:
* Minimum of 5 years of regulatory experience in regulatory compliance, investment management or related fields
* Prior experience with compliance review process is highly desired
* Advanced knowledge of government and regulatory laws and regulations
* Ability to interpret complex regulatory rules, regulations and documentation
* Detailed oriented with the ability to manage a high volume if account efficiently
* Ability to work independently and collaborate within a team
* Ability to research and manage multiple projects and deadlines simultaneously
* Effective communication and interpersonal skills
* Proficient in company and financial management software such as SEI and Investor Edge
Location Expectations
The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
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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 (some may vary based on role, location or hours):
* 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
EEO is the Law
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster.
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.
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: $90,100.00 - $106,000.00 - $116,600.00
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.
Job postings typically remain open for approximately 20 days of the posting date listed above, however the job posting may be closed earlier should it be determined the position is no longer required due to business need. Job postings in areas with a high volume of applicants, such as customer service, contact center, and Financial Crimes investigations, remain open for approximately 5 days of the posting listed date.