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…