Compliance Program Analyst

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

Partners with U.S. Bancorp Asset Management business partners, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, review and approve advertising material for compliance with state and federal advertising laws and regulations. Provide on-going project support to legal and compliance divisions. Compiles information for completion of reporting, including reports for management and regulators. With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement, and provide administrative support of the registered investment advisor compliance program.

Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Typically more than three years of registered investment company and/or institutional advisory advertising compliance experience OR 2+ years of SEC Rule 482 and/or SEC Rule 206(4)-1 advertising compliance experience.

- FINRA Series 6 or 7, and 63 (or willingness to obtain)

Preferred Skills/Experience

- Ability to interpret complex regulations.

- Ability to work collaboratively with business partners.

- Strong analytical and administrative skills.

- Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

- Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business

- Intermediate understanding of the registered investment advisors, 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

**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.**

**We are hiring in the following location:

• Minneapolis, MN

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

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