Compliance Quality Assurance Lead Testing Analyst - Fiduciary Oversight and Testing
$105,400–$124,000 year
On-siteCharlotte, North Carolina, United States or St. Louis, Missouri, United States
Job Summary
Partner with WCIB Business Units and Risk professionals to create, implement, and oversee an effective risk management framework. Execute testing activities to confirm compliance with fiduciary/trust requirements and applicable federal, state, and local laws. Identify control and process weaknesses through testing, then partner with groups to recommend and influence solutions that mitigate compliance risks. Communicate testing results to the Manager via well-written draft reports and escalate significant risks as appropriate. Provide oversight, coaching, and feedback to supporting Analysts while conducting risk assessments and audits of fiduciary and investment advisory activities. This role requires working from a U.S. Bank location three or more days per week.
Required Qualifications
- Bachelor's degree
- More than six years of applicable experience
- Juris Doctor (JD)
- Relevant professional certifications (trust, compliance, audit, risk management, or investment-related)
Desired Qualifications
- Strong knowledge of fiduciary principles, trust administration, discretionary investment management, and applicable fiduciary laws and regulations
- Experience supporting or overseeing fiduciary and investment-related businesses, including Personal Trust, Institutional Trust, Corporate Trust, Asset Management, Registered Investment Adviser (RIA), or Fund Services activities
- Background in legal, compliance, risk management, internal audit, regulatory oversight, or fiduciary services within a financial institution
- Experience conducting risk assessments, audits, compliance reviews, testing, or regulatory examinations of fiduciary and investment advisory activities
- Ability to identify and evaluate fiduciary, regulatory, operational, and investment-related risks, controls, and governance practices
- Strong analytical, critical thinking, project management, and problem-solving skills
- Excellent written and verbal communication skills, with the ability to present complex regulatory and risk matters to senior leaders and stakeholders
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